DFX Intelligence

F•••• S••••• C•• M••••••••• 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

F•••• S••••• C•• M••••••••• L••

CRD 273029

GREENWICH, CT

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Search this name across graphsid dfx:ria:9ef3fdbf-d03a-fdf7-2460-0ed06c67021f

Data as of Apr 7, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Jul 13, 2015 to Apr 7, 2017
5 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: $726M••• Locked
Discretionary RAUM: $726M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 51
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• K••••• S••••••	CHIEF COMPLIANCE OFFICER AND EXECUTIVE DIRECTOR, LEGAL	Na	yes	10/2015	Oct 30, 2015	Apr 7, 2017
B•••••• B••••••• D••••	CO-PRESIDENT	Na	yes	01/2017	Jul 13, 2015	Apr 7, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• S••••• M••••••••• L••	n/a	Former SEC adviser	$3.9B	N	yes	n/a
F••• G• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$726M	$698M	4.1%	n/a	n/a	51	87	n/a	n/a

Relationships

Affiliated with (2)

← F•••• S••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F•••• S••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (10)

← F••••• A••••••••• C••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jul 13, 2015 to presentfactForm ADV
← T••••••••• L••••••• M•••Owner

Dated events

Occurred
Jul 13, 2015
First Form ADV filing
F•••• S••••• C•• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ef3fdbf-d03a-fdf7-2460-0ed06c67021f
First observed: Jul 13, 2015
Last observed: Apr 7, 2017 115 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.