DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

F•••• L••• I••••• I••••••••• L••

CRD 167212

JERICHO, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a2baa781-6c9a-f0fe-80eb-9730ad297e00

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 14
On other graphs: 8
Observed: Apr 1, 2013 to Mar 31, 2026
28 observations

Across DFX

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

Private Equityidentity

F•••• L••• I••••• I••••••••• L••

Private equity manager · key cik, key crd, key sfn adviser, shared cik, shared crd

Family Officesidentity

F•••• L••• I••••• I••••••••• L••

Family office · key cik, key crd, key sfn adviser, shared cik, shared crd

Private Equityidentity

F•••• L••• I••••• I••••••••• L••

Private equity manager · key cik, key crd, key sfn adviser, shared cik, shared crd

Independent Sponsors

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.63 fund_share=0.31 institutional_share=0.05 related_bd=true related_bank=false bd_reps=8.0
Regulatory AUM: $1.9B••• Locked
Discretionary RAUM: $1.9B
Private client RAUM: $1.2Bderived••• Locked
Private client share: 63%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $266Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• P•••••• G•••••	Certified Financial Planner	JERICHO, NY	5	20	n/a	no
P••••• W• M•••••••	n/a	JERICHO, NY	5	39

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	F•••• reported	Status	Form D file
F•• P••••••• F•••• L•••	Hedge Fund	$214M	Mar 31, 2026	91	Mar 30, 2012	reported	021-57928
F•• S••••• E••••• F•••• L•••	Hedge Fund	$116M	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	F•••• seen	Last seen
F•••• L••• I••••• I•••••••	MEMBER CLASS A INTERESTS	E	yes	07/2019	Mar 31, 2026	Mar 31, 2026
G•••••• B••••• P••••••	SENIOR VICE PRESIDENT - PRIVATE WEALTH MANAGEMENT	Na	yes	01/2022	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•• I••••••••• L••	n/a	Former SEC adviser	$553M	N	yes	n/a
F•• F•••• M••••••••• C•• I•• L•	n/a	n/a	n/a	Y	yes	n/a
F•• F•••• M••••••••• C•• I••• L•

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$1.9B	$1.7B	9.0%	$1.3B	11.3%	24	24	0	0

Relationships

Affiliated with (1)

→ F•••• L••• I••••• I••••••••• L••Registered adviserbroker-dealer, common control
factForm ADV

Advises (17)

→ F•• S••••••• R••••• F•••••• L•Private fundOther Private Fund, IA
Mar 29, 2016 to presentfactForm ADV
→ F•• G••••• F•••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ F•• P••••••••• F•••• L•

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Private fund f•••• reported
••• Locked
Form ADVobserved today
$13.9M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a2baa781-6c9a-f0fe-80eb-9730ad297e00
First observed: Apr 1, 2013
Last observed: Mar 31, 2026 5 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.

Controls (16)

← R••••••••• R•••••• D•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Apr 1, 2013 to Mar 28, 2024factForm ADV
← G••••• J•••••••• A•••••OwnerSENIOR VICE PRESIDENT, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← P••••••••• R••••• F••••••OwnerPRESIDENT AND CHIEF OPERATING OFFICER, ownership code C, individual
Apr 1, 2013 to Mar 28, 2024factForm ADV
← M•••••••• P•••••• W•OwnerEXECUTIVE MANAGING DIRECTOR AND DIRECTOR OF RESEARCH, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← G•••••• B••••• P••••••OwnerSENIOR VICE PRESIDENT - PRIVATE WEALTH MANAGEMENT, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← F•••• L••• I••••• I•••••••OwnerMEMBER CLASS A INTERESTS, ownership code E, domestic entity
Mar 31, 2026 to presentfactForm ADV
← P••••••••• E•••••• C••••••OwnerEXECUTIVE MANAGING DIRECTOR, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← V••••• T••••••• C•••••••••OwnerSENIOR VICE PRESIDENT, FINANCE & ADMINISTRATION AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← K••• I••••••••• M••••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2020 to Mar 28, 2024factForm ADV
← J•••••• S••••••• J•••••OwnerEXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 1, 2013 to Mar 28, 2024factForm ADV
← B••••• H••••••• •••••••• L•••OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 17, 2020 to Mar 28, 2024factForm ADV
← F•••• L••• I••••• I••••••• H•••••••• I•••OwnerMEMBER CLASS A INTERESTS, ownership code E, domestic entity
Apr 1, 2013 to Mar 28, 2024factForm ADV
← K••• I••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2020 to Mar 28, 2024factForm ADV
← W•••• M•••••••• I•••••••• G••••• L•••OwnerSHAREHOLDER, ownership code E, foreign entity
Jul 25, 2019 to Mar 28, 2024factForm ADV
← W• I••••••••• H••••••• L•••OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 17, 2020 to Mar 28, 2024factForm ADV
← W• R••••• L•••OwnerMEMBER, ownership code E, foreign entity
Nov 17, 2020 to Mar 28, 2024factForm ADV