DFX Intelligence

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

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 1b 10b

C•••• • S••••• A••• L••••••

CRD 135661

CENTRAL

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 8
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
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: other adviserderivedprivate_client_share=0.0 fund_share=0.57 institutional_share=0.43 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $2.9B••• Locked
Discretionary RAUM: $2.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• W•• M•••	EXECUTIVE DIRECTOR AND RESPONSIBLE OFFICER	Na	yes	12/2022	Dec 22, 2022	Nov 14, 2024
C•••• • S••••• C•••••• M••••••••• I•••	Shareholder	E	yes	03/2005	Mar 30, 2012	Nov 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• • S••••• C•••••• M••••••••• I•••	n/a	Asset manager	$86B	Y	yes	n/a
C•••• • S••••• U• L••••••	n/a	Asset manager	$5.4B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$2.9B	$2.5B	20.0%	$3.6B	-6.0%	18	16	0	0

Relationships

Affiliated with (5)

← C•••• • S••••• C•••••• M••••••••• I•••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•••• • S••••• C•••••• M••••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ C•••• • S••••• U• L••••••Registered adviserother investment adviser, common control
factForm ADV
← C•••• • S••••• U• L••••••Registered adviser

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
28 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
$-833M
Occurred
30 Jul 2024
Control person joined
••• Locked
Form ADV
Occurred
30 Jul 2024
Control person left
••• Locked
Form ADV
Occurred
15 Sep 2023
Control person joined
••• Locked
Form ADV
Occurred
22 Dec 2022
Control person joined2 events
C•••• • S••••• A••• L••••••: control person joined, 2 events, on 22 Dec 2022
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 30, 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$2.5B	$2.5B	14	8	n/a	n/a	n/a
2014	Mar 31, 2015	$3.2B	$3.2B	13	8	n/a	n/a	n/a
2013	Mar 31, 2014	$3.1B	$3.1B	11	7	n/a	n/a	n/a
2012	Apr 1, 2013	$4.2B	$4.2B	11	7	n/a	n/a	n/a
2011	Mar 30, 2012	$4.7B	$4.7B	n/a	n/a	n/a	n/a	n/a