DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

G•••••• S•••• A•••• M••••••••• ••••••••• P••• L•••

CRD 286067

S••••••••

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:adada11a-7d38-cce3-9217-1233356b9453

Data as of May 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 13
On other graphs: 0
Observed: Aug 23, 2017 to May 22, 2026
37 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

G•••••• S•••• A•••• M••••••••• L•••

owned by this firm per Schedule A, named with its CRD in Item 7.A · confidence 90% · family precision 100%

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=0.55 institutional_share=0.41 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $14B••• Locked
Discretionary RAUM: $14B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 86

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• S••• M•••	CHIEF EXECUTIVE OFFICER, DIRECTOR	Na	yes	12/2017	Dec 18, 2017	Oct 29, 2024
G•••••• S•••• A•••• M••••••••• I••••••••• H••••••• L•••••	Shareholder	E	yes	11/2013	Aug 23, 2017	Oct 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• S•••• A•••• M••••••••• L•••	n/a	Other adviser	$2649B	Y	yes	n/a
G•••••• S•••• A•••• M••••••••• I•••••••••	n/a	Asset manager	$621B	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	$14B	$11B	25.7%	$4.7B	43.6%	86	60	0	0

Relationships

Affiliated with (24)

← G•••••• S•••• A•••• M••••••••• I•••••••••Registered adviserother investment adviser, broker-dealer, bank, pooled vehicle sponsor, common control
factForm ADV
← G•••••• S•••• A•••• M••••••••• L•••Registered adviserother investment adviser, broker-dealer, bank, pooled vehicle sponsor, control, common control
factForm ADV
← G•••••• S•••• • C•• L••Registered adviserother investment adviser, broker-dealer, bank, pooled vehicle sponsor, common control
factForm ADV
→ G••• S••••• V••••• L••

Dated events

Occurred
Mar 31, 2026
Ria raum c•••ge
••• Locked
Form ADVobserved 8 days ago
$2.8B
Occurred
Apr 12, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Ria raum c•••ge
••• Locked
Form ADVobserved 8 days ago
$9.8B
Occurred
Jun 16, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:adada11a-7d38-cce3-9217-1233356b9453
First observed: Aug 23, 2017
Last observed: May 22, 2026 4 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.