DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C••••• P•••••••• A•••••••• L••

CRD 310606

STAMFORD, CT

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Search this name across graphsid dfx:ria:91c642be-c062-f361-db12-12d38068d391

Data as of Apr 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Nov 6, 2020 to Apr 28, 2026
13 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=false related_bank=false bd_reps=0.0
Regulatory AUM: $859M••• Locked
Discretionary RAUM: $859M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•• O••••••••• M••••• F••• I• L•••	Hedge Fund	$147M	Jun 17, 2024	22	Mar 29, 2024	reported	n/a
C•• O••••••••• I••••••••• F••• I• L•••	Hedge Fund	$107M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• T•••• S••••••	CHIEF OPERATING OFFICER	Na	yes	03/2020	Nov 6, 2020	Jun 17, 2024
L••••• M••••••• N••	CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER	Na	yes	03/2022	Mar 18, 2022	Jun 17, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• O••••••••• F••• I• G• 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
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	$859M	$964M	-10.9%	$779M	3.3%	16	14	0	0

Relationships

Advises (2)

→ C•• O••••••••• I••••••••• F••• I• L•••Private fundHedge Fund, IA
Mar 29, 2024 to presentfactForm ADV
→ C•• O••••••••• M••••• F••• I• L•••Private fundHedge Fund, IA
Mar 29, 2024 to presentfactForm ADV

Controls (4)

← B•••••• T•••• S••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Nov 6, 2020 to Jun 17, 2024factForm ADV
← S••••••• J•••••••• D••••• C•

Dated events

Occurred
Mar 23, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$249M
Occurred
Nov 6, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91c642be-c062-f361-db12-12d38068d391
First observed: Nov 6, 2020
Last observed: Apr 28, 2026 4 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.