DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

C••••• P•••••• M••••• S••••••••• A•••••••• L••

CRD 328015

NEW YORK, NY

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Search this name across graphsid dfx:ria:89427e14-fbe9-3f62-115b-0ee2b3babca0

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 8
On other graphs: 0
Observed: Aug 16, 2023 to Sep 18, 2026
10 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

C••••• P•••••• M••••• S••••••••• A•••••••• L•• reported RAUM $1.8B, up 211% from $594.2M (2025-06-27 to 2026-06-26)

Dated 2026-06-26 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

Advisor Recruiting IntelligenceJun 26, 2026 · seen 7 days ago

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=false bd_reps=18.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• R••••	Director	Na	yes	09/2023	Sep 14, 2023	Jun 28, 2024
C•••• L••••••	Owner	E	yes	02/2023	Aug 16, 2023	Jun 28, 2024
C••••• P•••••• M••••• S••••••••• H•••••••• L••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••••• I••	n/a	Asset manager	$12B	N	yes	n/a
C••••• C•••••• L••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jun 28, 2024	$324M	$324M	17	0	0	n/a	n/a

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	$1.8B	n/a	n/a	n/a	n/a	25	n/a	0	n/a

Relationships

Affiliated with (2)

← C••••• C•••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ C••••• C•••••• I••Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← E•••••••• R••••••OwnerPRESIDENT, ownership code NA, individual
Aug 16, 2023 to Jun 28, 2024factForm ADV
← C•••••• J•••••• J•••••OwnerOWNER, ownership code E, individual

Dated events

Occurred
Jun 26, 2026
Regulatory AUM changed
C••••• P•••••• M••••• S••••••••• A•••••••• L•• reported RAUM $1.8B, up 211% from $594.2M (2025-06-27 to 2026-06-26)
Form ADVobserved 7 days ago
$1.3B
Occurred
Jun 27, 2025
Regulatory AUM changed
C••••• P•••••• M••••• S••••••••• A•••••••• L•• reported RAUM $594.2M, up 83% from $323.9M (2024-06-28 to 2025-06-27)
Form ADVobserved 7 days ago
$270M
Occurred
Jun 28, 2024
Control person joined
Louise Helen Lamb (Director) appeared on Schedule A of C••••• P•••••• M••••• S••••••••• A•••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89427e14-fbe9-3f62-115b-0ee2b3babca0
First observed: Aug 16, 2023
Last observed: Sep 18, 2026 4 days 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.