DFX Intelligence

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

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 1b 10b

I••••••••• A••••••• R••••• I••••••••• L••

CRD 306860

NEW YORK, NY

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Search this name across graphs

Data as of May 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 13
On other graphs: 1
Observed: Feb 7, 2020 to May 7, 2026
18 observations

Across DFX

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

Private Creditidentity

I••••••••• A••••••• R••••• I••••••••• L••

Private credit manager · key_crd, shared_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.47 institutional_share=0.53 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• A••••• F••• • S••••• H•	Other Private Fund	$245M	May 7, 2026	1	Mar 30, 2023	reported	n/a
O•••• G••••• S•• • P•••••• S•	Other Private Fund	$244M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• I••	CHIEF COMPLIANCE OFFICER, HEAD OF LEGAL AND COMPLIANCE	Na	yes	07/2024	Sep 13, 2024	Dec 12, 2024
C• H••••••• L••••••	Shareholder	E	yes	08/2005	Feb 7, 2020	Dec 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••••••• C••••• M••••••••• U• L••	n/a	Asset manager	$12B	N	yes	n/a
M••••• P•••• C••••• M••••••••• L••	n/a	Former SEC adviser	$7.8B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	2	no

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	$1.1B	$1.3B	-13.1%	$1.3B	-3.6%	5	8	1	1

Relationships

Affiliated with (14)

← C• I••••••••• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ I••••••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ I••••••••• C••••• M••••••••• U• L••Registered adviserother investment adviser, common control
factForm ADV
→ C• I••••••••• P•••••••• L••Registered adviserother investment adviser, common control

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
7 May 2026
Ria principal change2 events
I••••••••• A••••••• R••••• I••••••••• L••: ria principal change, 2 events, on 7 May 2026
- ••• Locked
- ••• Locked
Occurred
13 Sep 2024
Control person joined
••• Locked
Form ADV
Occurred
30 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
$303M
Occurred
30 Mar 2023
Control person joined
••• Locked
Form ADV
Occurred
30 Mar 2022
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 7, 2020
Last observed: May 7, 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.

All 15 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• J••••• A••••••	President	Na	yes	11/2022	Mar 30, 2023	Dec 12, 2024
S•••• H••••••• L••	Shareholder	E	yes	06/2023	Dec 12, 2024	Dec 12, 2024
S•••• L••••••	Shareholder	E	yes	08/2005	Feb 7, 2020	Dec 12, 2024
T•••• A••••••••• S•••••••• S••••	Shareholder	D	yes	11/2023	Mar 22, 2024	Dec 12, 2024
T••••••••• P••••••	Shareholder	C	yes	11/2023	Jun 25, 2020	Dec 12, 2024

All 32 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••••••• C•••••• I••••••••• P•••••••• L•••	n/a	n/a	n/a	N	yes	n/a
I••••••••• C••••• M••••••••• E• L••••••	n/a	n/a	n/a	N	yes	n/a
I••••••••• F•••••••• S••••••• B•••••	n/a	n/a	n/a	N	yes	n/a
I••••••••• G••• I••••••••• B••	n/a	n/a	n/a	N	yes	n/a
I••••••••• I•••• A•••• M••••••• P•••••• L••••••	n/a	n/a	n/a	N	yes	n/a
I••••••••• I••••••••• M••••••• I•••• L••	n/a	n/a	n/a	N	yes	n/a
I••••••••• I•••••• D••••••••• L••• F••• I• G• L••••••	n/a	n/a	n/a	Y	no	n/a
I••••••••• J••••• L••	n/a	n/a	n/a	N	yes	n/a
I••••••••• M•••• L••••••	n/a	n/a	n/a	N	yes	n/a
I••••••••• M••••••••• H•••••••• L•••	n/a	n/a	n/a	N	yes	n/a
I••••••••• M••••••••• S••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
I••••••••• P•••••• E••••• 2••• F••• G• L•	n/a	n/a	n/a	N	yes	n/a
I••••••••• S•••• A••••• F•••••••• I••••••••• C••	n/a	n/a	n/a	N	yes	n/a
I••••••••• S••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
M••••• P•••• C•• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
M•••••• C•••••• A••••••• U••••••••• L••	n/a	n/a	n/a	N	yes	n/a
M•••••• C•••••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
M•••••• C•••••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
M• C•• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
N••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a
T•••• C•••••• L••	n/a	n/a	n/a	N	yes	n/a
T•••• C•••••• S•• S•••••	n/a	n/a	n/a	N	yes	n/a