DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

G••••••••• F•••• D••••••••• L••

CRD 39805

CHICAGO, IL

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Search this name across graphsid dfx:ria:8d913a87-f435-0e1b-16a2-82e21a7eaddf

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 53
Dated events: 8
On other graphs: 1
Observed: Mar 29, 2012 to Mar 31, 2026
32 observations

Across DFX

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

Private Equityidentity

G••••••••• F•••• D••••••••• L••

Intermediary · shared crd

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=137.0
Regulatory AUM: $7.8B••• Locked
Discretionary RAUM: $7.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 245

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• Y•••	FINANCIAL AND OPERATIONS PRINCIPAL	Na	yes	09/2024	Oct 1, 2024	Oct 1, 2024
C••••••••• D••••••• N••	CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS	Na	yes	07/2006	Mar 29, 2012	Oct 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••••••• P••••••• I••••••••• M••••••••• L••	n/a	Other adviser	$241B	N	yes	n/a
G••••••••• C•••••••• F••••••• L••	n/a	ASSET_M••••••	$11B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	yes

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	$7.8B	$6.9B	13.9%	$5.6B	11.8%	245	250	2	2

Relationships

Affiliated with (18)

← G••••••••• C•••••••• F••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← G••••••••• P••••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← G••••••••• PRIVATE INVESTMENTS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← G• G•••• A•••••••• L••Registered adviser

Dated events

Occurred
Oct 1, 2024
Control person left
Julie Ann Jacques (Treasurer) no longer on Schedule A of G••••••••• F•••• D••••••••• L•• (listed 2024-03-28, absent 2024-10-01)
Form ADVobserved 7 days ago
Occurred
Oct 1, 2024
Control person joined
Ying Chan (Financial And Operations Principal) appeared on Schedule A of G••••••••• F•••• D••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
Kevin Michael Mcgovern (Vice President) no longer on Schedule A of G••••••••• F•••• D••••••••• L•• (listed 2022-03-31, absent 2023-03-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d913a87-f435-0e1b-16a2-82e21a7eaddf
First observed: Mar 29, 2012
Last observed: Mar 31, 2026 5 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 (21)

← L••• A•• J•OwnerGENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR, ownership code NA, individual
Apr 24, 2013 to Oct 1, 2024factForm ADV
← C••••••••• D••••••• N••OwnerCHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS, ownership code NA, individual
Mar 29, 2012 to Oct 1, 2024factForm ADV
← P•••••• C••••••••• V•••OwnerHEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 29, 2012 to Oct 1, 2024factForm ADV
← D••••••••• D••• M••••OwnerPRESIDENT OF THE BROKER DEALER, G••••••••• F•••• D••••••••• L••, ownership code NA, individual
Mar 31, 2021 to Oct 1, 2024factForm ADV
← M•••••• E•••••••• A••OwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Apr 15, 2014 to Oct 1, 2024factForm ADV
← M••••••• D••••• R•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 20, 2013 to Oct 1, 2024factForm ADV
← C•••• Y•••OwnerFINANCIAL AND OPERATIONS PRINCIPAL, ownership code NA, individual
Oct 1, 2024 to Oct 1, 2024factForm ADV
← C••••••••• I••••••••• S•••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to Oct 1, 2024factForm ADV
← G• H••••• I• L••OwnerMEMBER, ownership code E, domestic entity
Mar 28, 2024 to Oct 1, 2024factForm ADV
← G• H••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 28, 2024 to Oct 1, 2024factForm ADV
← G•• G••••• L••OwnerMANAGING MEMBER, ownership code F, domestic entity
Aug 20, 2013 to Oct 1, 2024factForm ADV
← G•••••••• T•••• C••••••• T••••••OwnerT••••••, ownership code F, domestic entity
Nov 6, 2012 to Oct 1, 2024factForm ADV
← G••••••••• C••••••• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to Oct 1, 2024factForm ADV
← G••••••••• F•••• S•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 29, 2012 to Oct 1, 2024factForm ADV
← G••••••••• M••••••• I•••OwnerMEMBER, ownership code E, domestic entity
Apr 1, 2013 to Oct 1, 2024factForm ADV
← G••••••••• P••••••• I••••••••• M••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Aug 20, 2013 to Oct 1, 2024factForm ADV
← G••••••••• P•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 29, 2012 to Oct 1, 2024factForm ADV
← S••• A•••••• I•••OwnerMEMBER, ownership code C, domestic entity
Mar 29, 2012 to Oct 1, 2024factForm ADV
← S•••••• C•••••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2024 to Oct 1, 2024factForm ADV
← S•••••• E••••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to Oct 1, 2024factForm ADV
← S•••••• E••••••••• I••• E•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to Oct 1, 2024factForm ADV