DFX Intelligence

A•• A•••••••• F•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

A•• A•••••••• F•••• L••

CRD 310335

CHICAGO, IL

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Data as of Apr 29, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 26
On other graphs: 1
Observed: Sep 2, 2020 to Apr 29, 2025
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

A•• A•••••••• F•••• L••

Capital provider to sponsors · key_crd, shared_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $149M••• Locked
Discretionary RAUM: $149M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•• I• A•••••••• F••• L•	Other Private Fund	$70.5M	Jul 17, 2026	14	Sep 2, 2020	reported	021-377400
S•••••• I••••••••• V•••••••••	Other Private Fund	$1,000

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• A•••••••• F•••• H•••••• C•••••••••	HOLDING CORPORATION	E	yes	07/2020	Sep 2, 2020	Oct 6, 2024
A•• P••	Owner	E	no	07/2020	Sep 2, 2020	Oct 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• I••••••••• U•• I•••	n/a	Institutional manager	$151B	N	yes	n/a
T••••••• H••••••• L••	n/a	Institutional manager	$20B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	5	no
SAN FRANCISCO	CA	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Apr 29, 2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$149M	$268M	-44.5%	$163M	-2.9%	8	11	2	2

Relationships

Advises (2)

→ A•• I• A•••••••• F••• L•Private fundOther Private Fund, ERA
Sep 2, 2020 to presentfactForm ADV
→ S•••••• I••••••••• V•••••••••Private fundOther Private Fund, IA, no longer reported
Apr 20, 2021 to Sep 15, 2021factForm ADV

Affiliated with (5)

← A•• S••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
17 Jul 2026
Ria registration change
••• Locked
Form ADV
Occurred
17 Jul 2026
Ria private fund assets change
••• Locked
Form ADV
$-198M
Occurred
17 Jul 2026
Ria principal change5 events
A•• A•••••••• F•••• L••: ria principal change, 5 events, on 17 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
17 Jul 2026
Private fund gav change
••• Locked
Form ADV
$-198M
Occurred
17 Jul 2026
Ria office closed
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 2, 2020
Last observed: Apr 29, 2025 17 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

All 12 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• T•••• C•••••• L••	n/a	n/a	n/a	N	yes	n/a
T••••••• G•••• E••••• L••••••	n/a	n/a	n/a	N	yes	n/a