DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C••••••••• S••••••••• L••

CRD 40804

GREENWICH, CT

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Search this name across graphsid dfx:ria:a0c16112-adf5-f533-0f55-3cc3973f3bb0

Data as of Dec 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 4
Observed: Dec 1, 2020 to Dec 17, 2020
3 observations

Across DFX

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

Venture Capitalidentity

C••••••••• S••••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

C••••••••• S••••••••• L••

Intermediary · shared crd

Private Equityidentity

C••••••••• S••••••••• L••

Intermediary · shared crd

Real Estate Fundsidentity

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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 30
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-120061
CRD: 40804

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• R•••• R••••••	SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER	C	yes	10/1996	Dec 1, 2020	Dec 17, 2020
M••••••• D••••• C•••••••	SENIOR MANAGING DIRECTOR	C	yes	10/1996	Dec 1, 2020	Dec 17, 2020

Relationships

Controls (3)

← M••••••• D••••• C•••••••OwnerSENIOR MANAGING DIRECTOR, ownership code C, individual
Dec 1, 2020 to presentfactForm ADV
← M••••••••• J••• J••OwnerSENIOR MANAGING DIRECTOR, ownership code C, individual
Dec 1, 2020 to presentfactForm ADV
← D••••••• R•••• R••••••OwnerSENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER, ownership code C, individual
Dec 1, 2020 to presentfactForm ADV

Owns (3)

← F•••••• G•••••• J•••OwnerFINOP, ownership code NA, individual

Dated events

Occurred
Dec 1, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0c16112-adf5-f533-0f55-3cc3973f3bb0
First observed: Dec 1, 2020
Last observed: Dec 17, 2020 70 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.