DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

Q• I••••••••• L••

CRD 152688

NEW YORK, NY

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Search this name across graphsid dfx:ria:9c35d00f-6bb6-fec3-427c-1945aca254e4

Data as of Jun 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 15
On other graphs: 0
Observed: Mar 29, 2012 to Jun 25, 2021
34 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: $19B••• Locked
Discretionary RAUM: $15B
Private client RAUM: $229Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 68
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Q• I•••••••• D•• G••••• E••••••• M•••••• E••••• F••• L•	Other Private Fund	$135M	Jun 25, 2021	2	Aug 16, 2013	reported	021-199225
Q• I•••••••• D•• A•• C•••••• G••••• E••••• F••• L•	Hedge Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• S••••	Director	Na	yes	04/2021	May 10, 2021	Jun 25, 2021
D••••• S••••••• H•••••	Director	Na	yes	04/2021	May 10, 2021	Jun 25, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• A•••• M••••••••• C••••••• L••	n/a	Asset manager	$185B	N	yes	n/a
C••••••••• I••••••••• L••	n/a	Mixed wealth	$185B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	6	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$19B	$15B	24.7%	$20B	-1.6%	68	73	1	1

Relationships

Affiliated with (16)

→ R•••• I••••••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV
→ W•••••• A•••• M••••••••• C•••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ W•••••• A•••• M••••••••• C••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ B••••••••• G••••• I••••••••• M••••••••• L••Registered adviser

Dated events

Occurred
May 10, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
May 10, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
May 10, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
May 10, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c35d00f-6bb6-fec3-427c-1945aca254e4
First observed: Mar 29, 2012
Last observed: Jun 25, 2021 63 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.