DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

D•••• S••••••• A••••••• L•

CRD 108674

TUCSON, AZ

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Search this name across graphsid dfx:ria:8536b01e-2552-6a98-4158-a4242e3857c8

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2012 to Mar 19, 2026
23 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=0.01 fund_share=0.81 institutional_share=0.17 related_bd=true related_bank=false bd_reps=42.0
Regulatory AUM: $30B••• Locked
Discretionary RAUM: $26B
Private client RAUM: $159Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 121

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• I••••••••• L••	GENERAL PARTNER	Na	yes	12/2000	Mar 16, 2012	Mar 20, 2024
D••••• C••••••••• C•••••	SOLE MEMBER	E	yes	12/2000	Mar 16, 2012	Mar 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• S••••••• A••••••• • N•• I•••	n/a	Asset manager	$22B	Y	yes	n/a
D•••• D••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	10	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$30B	$25B	19.0%	$20B	14.8%	121	124	1	1

Relationships

Affiliated with (2)

→ D•••• S••••••• A••••••• • N•• I•••Registered adviserother investment adviser, control, common control
factForm ADV
← D•••• S••••••• A••••••• • N•• I•••Registered adviserother investment adviser, control, common control
factForm ADV

Owns (8)

← T••• G•••• P•••OwnerVICE PRESIDENT, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 16, 2012 to Mar 20, 2024factForm ADV
← D••••• A•••••• A••••Owner

Dated events

Occurred
Mar 23, 2023
Regulatory AUM changed
D•••• S••••••• A••••••• L• reported RAUM $19.9B, down 27% from $27.4B (2022-03-28 to 2023-03-23)
Form ADVobserved 7 days ago
$-7.5B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8536b01e-2552-6a98-4158-a4242e3857c8
First observed: Mar 16, 2012
Last observed: Mar 19, 2026 6 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.