DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S•••••••• V•••• L•

CRD 156943

NEW YORK, NY

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Search this name across graphsid dfx:ria:898e42a8-171c-c297-8182-988f32d25640

Data as of Sep 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 3
On other graphs: 0
Observed: Jan 24, 2012 to Sep 11, 2026
33 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=0.67 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $8.2B••• Locked
Discretionary RAUM: $8.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 44

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• V•••• A•• O••••••••• M••••• F••• L••	Hedge Fund	$4.7B	Mar 29, 2024	919	Jan 24, 2012	reported	021-116389
S•••••••• X• M••••• F••• L••	Hedge Fund	$1.1B	Mar 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• L••••••• A••••	GENERAL COUNSEL	Na	yes	02/2024	Mar 28, 2017	Mar 29, 2024
C•••• I••••••••• M••••••••• L••	Member	E	yes	03/2011	Jan 24, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• V•••• A• G• L••	n/a	n/a	n/a	N	yes	n/a
S•••••••• V•••• A• L•	n/a	n/a	n/a	N	yes	n/a
S•••••••• V•••• R• L•	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
FORT LAUDERDALE	FL	United States	4	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	$8.2B	$9.0B	-9.9%	$8.0B	0.4%	44	44	1	1

Relationships

Advises (6)

→ S•••••••• X• M••••• F••• L••Private fundHedge Fund, IA
Nov 4, 2020 to presentfactForm ADV
→ S•••••••• L•••••• F••• L•Private fundHedge Fund, IA
Jun 25, 2013 to presentfactForm ADV
→ S•••••••• L•••••• S••••• F••• L•Private fundHedge Fund, IA
Oct 26, 2015 to presentfactForm ADV
→ S•••••••• V•••• A•• O••••••••• M••••• F••• L••

Dated events

Occurred
Mar 29, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$2.9B
Occurred
Feb 4, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:898e42a8-171c-c297-8182-988f32d25640
First observed: Jan 24, 2012
Last observed: Sep 11, 2026 11 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.