DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

K•••••• A••••••• L••

CRD 283768

NEW YORK, NY

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Search this name across graphsid dfx:ria:9885cecd-cc80-9cd1-924c-b57ed5314cbc

Data as of Mar 30, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: May 10, 2016 to Mar 30, 2019
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $301M••• Locked
Discretionary RAUM: $301M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• J••••• S•••••	LIMITED PARTNER	E	yes	12/2003	May 10, 2016	Mar 30, 2019
C•••••• J••••• S•••••	President	Na	yes	04/2016	May 10, 2016	Mar 30, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••• A••••••••• L•	n/a	Former SEC adviser	$327M	Y	yes	n/a
K• A••••••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a
K••• A••••••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 30, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$301M	$587M	-48.7%	n/a	n/a	22	25	0	0

Relationships

Affiliated with (1)

→ C••••• • C•••••• L•••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (3)

← C•••••• J••••• S•••••OwnerLIMITED PARTNER, ownership code E, individual
May 10, 2016 to presentfactForm ADV
← K•••••• A••••••••• L•OwnerMEMBER, ownership code E, domestic entity
May 10, 2016 to presentfactForm ADV
← N••••••• B••••• F••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 30, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-286M
Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$132M
Occurred
May 10, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9885cecd-cc80-9cd1-924c-b57ed5314cbc
First observed: May 10, 2016
Last observed: Mar 30, 2019 91 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.