DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

S••••••••• R•••• C•••••• L•

CRD 289785

RED BANK, NJ

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Search this name across graphs

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 11
On other graphs: 1
Observed: Jun 26, 2018 to Mar 25, 2026
13 observations

Across DFX

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

Venture Capitalidentity

S••••••••• R•••• C•••••• L•

Venture manager · key_crd, key_sfn_adviser, 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=false related_bank=true bd_reps=0.0
Regulatory AUM: $758M••• Locked
Discretionary RAUM: $758M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••••• R•••• C•••••• C••• E••••••••• M••••• F••• L•	Hedge Fund	$727M	Mar 25, 2026	44	Aug 15, 2017	reported	n/a
S••••••••• R•••• C•••••• C••• E••••••••• F••• L•••	Hedge Fund	$564M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• B••••• R•••••	CHIEF FINANCIAL OFFICER	Na	yes	02/2020	Mar 31, 2020	May 9, 2024
K•••••• J••••• S••••	MANAGING MEMBER	E	yes	02/2017	Jun 26, 2018	May 9, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• R•••• C•••••• F••• 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	$758M	$972M	-22.1%	$1.1B	-12.2%	7	6	0	0

Relationships

Advises (3)

→ S••••••••• R•••• C•••••• C••• E••••••••• M••••• F••• L•Private fundHedge Fund, IA
Aug 15, 2017 to presentfactForm ADV
→ S••••••••• R•••• C•••••• C••• E••••••••• F••• L•Private fundHedge Fund, IA
Jun 26, 2018 to presentfactForm ADV
→ S••••••••• R•••• C•••••• C••• E••••••••• F••• L•••Private fundHedge Fund, IA
Jun 26, 2018 to presentfactForm ADV

Controls (4)

Dated events

Order

Occurred
25 Mar 2026
Ria indirect owner change3 events
S••••••••• R•••• C•••••• L•: ria indirect owner change, 3 events, on 25 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
2 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$273M
Occurred
24 Mar 2021
Regulatory AUM changed
••• Locked
Form ADV
$226M
Occurred
31 Mar 2020
Control person left
••• Locked
Form ADV
Occurred
31 Mar 2020
Regulatory AUM changed
••• Locked
Form ADV
$100M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 26, 2018
Last observed: Mar 25, 2026 6 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.