DFX Intelligence

E•••• P•••• I••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

E•••• P•••• I••••• M••••••••• L••

CRD 299198

GREENWICH, CT

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Search this name across graphsid dfx:ria:85319afc-6004-c2f7-be35-8202188ab572

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 11
On other graphs: 0
Observed: Oct 5, 2018 to Jul 14, 2026
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0
Regulatory AUM: $458M••• Locked
Discretionary RAUM: $458M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 66

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••• P•••• H••••••• G• L••	G•••••• PARTNER	F	yes	05/2018	Oct 5, 2018	Mar 27, 2024
E•••• P•••• H••••••• I••••••••• L••	SOLE MEMBER	E	yes	03/2023	Oct 12, 2023	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• P•••• C•••••• L••	n/a	Asset manager	$68B	Y	yes	n/a
E•••• P•••• C••••• M••••••••• L••	n/a	OTHER_A••••••	$13B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2025	$458M	$456M	0.5%	$149M	45.5%	66	63	0	0

Relationships

Affiliated with (9)

← M••••••• P•••• C••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S•••• P•••• C•••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ E•••• P•••• C••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ S•••• P•••• C••••• A•••••• L••Registered adviser

Dated events

Occurred
Mar 28, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$212M
Occurred
Mar 27, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2024
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85319afc-6004-c2f7-be35-8202188ab572
First observed: Oct 5, 2018
Last observed: Jul 14, 2026 2 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.

Controls (16)

← M•••••••• T•••••• P•••••OwnerMANAGING PARTNER, ownership code NA, individual
Oct 5, 2018 to Mar 27, 2024factForm ADV
← O•••••• K••••••• P•••OwnerSENIOR PRINCIPAL, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER, ownership code NA, individual
Oct 5, 2018 to Mar 27, 2024factForm ADV
← M••••• N•••••• S•OwnerSENIOR PRINCIPAL AND G•••••• COUNSEL, ownership code NA, individual
Oct 5, 2018 to Mar 27, 2024factForm ADV
← F•••••••• C•••••••• B••••••OwnerPRINCIPAL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2020 to Mar 27, 2024factForm ADV
← E•••• P•••• H••••••• G• L••OwnerG•••••• PARTNER, ownership code F, domestic entity
Oct 5, 2018 to Mar 27, 2024factForm ADV
← E•••• P•••• H••••••• I••••••••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 12, 2023 to Mar 27, 2024factForm ADV
← E•••• P•••• H••••••• L•OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 5, 2018 to Mar 27, 2024factForm ADV
← E•••• P•••• H••••••• T•••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 12, 2023 to Mar 27, 2024factForm ADV
← E•••• P•••• P••••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Apr 28, 2023 to Mar 27, 2024factForm ADV
← E• V••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Oct 5, 2018 to Mar 27, 2024factForm ADV
← E••• H••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Oct 5, 2018 to Mar 27, 2024factForm ADV
← T•••••• C•••••• I•• L•••OwnerG•••••• PARTNER, ownership code F, foreign entity
Apr 28, 2023 to Mar 27, 2024factForm ADV
← T•••••• E• B•••••• A••• L•••OwnerMEMBER, ownership code E, domestic entity
Apr 28, 2023 to Mar 27, 2024factForm ADV
← T•••••• E••• H••••••• L••OwnerMEMBER, ownership code C, domestic entity
Oct 5, 2018 to Mar 27, 2024factForm ADV
← T•••••• I•• L•••OwnerLIMITED PARTNER, ownership code D, foreign entity
Apr 28, 2023 to Mar 27, 2024factForm ADV
← T•••••• I•• P••••••• F•••• L•••OwnerLIMITED PARTNER, ownership code C, foreign entity
Apr 28, 2023 to Mar 27, 2024factForm ADV