DFX Intelligence

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

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 100m 1b

L••• C•••••• M••••••••• L••

CRD 174093

NEW YORK, NY

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Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 4
On other graphs: 1
Observed: Feb 24, 2015 to Mar 27, 2026
19 observations

Across DFX

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

Independent Sponsorsidentity

L••• C•••••• M••••••••• L••

Capital provider to sponsors · 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: other adviserderivedprivate_client_share=0.17 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $571M••• Locked
Discretionary RAUM: $571M
Private client RAUM: $99.3Mderived••• Locked
Private client share: 17%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D••••••••• S••••••••• F••• L••• S••	Hedge Fund	$144M	Jul 1, 2015	3	Jul 1, 2015	dropped	n/a
G•••• D••••• S•• L••• T••••• F• S••••••••• P•••••••• • S•••••	Other Private Fund	$25.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• A•••••• L•••	CHIEF OPERATING OFFICER	Na	yes	12/2020	Mar 15, 2021	Mar 27, 2024
T••••••••• J•••• ••••	CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, MANAGER	Na	yes	12/2014	Feb 24, 2015	Mar 27, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	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	$571M	$506M	12.9%	$426M	10.2%	2	2	1	1

Relationships

Advises (9)

→ G•••• F••• S••• L•• L••• T••• S••••••••• P•••••••• • S•••••Private fundOther Private Fund, IA
Mar 27, 2018 to presentfactForm ADV
→ G•••• F••• S••• L•• S••••••••• P•••••••• • S•••••Private fundOther Private Fund, IA
Mar 27, 2018 to presentfactForm ADV
→ G•••• F••• S•• L••• L••• L••• O••••••••• S••••••••• P•••••••• • S•••••Private fundOther Private Fund, IA
Mar 15, 2021 to presentfactForm ADV
→ G•••• F••• S••••• L••• L•• P•••••••• • S•••••

Dated events

Order

Occurred
27 Mar 2026
Ria office opened
••• Locked
Form ADV
Occurred
27 Mar 2026
Private fund no longer reported
••• Locked
Form ADV
$25.9M
Occurred
15 Mar 2021
Control person joined
••• Locked
Form ADV
Occurred
24 Feb 2015
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 24, 2015
Last observed: Mar 27, 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.