DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

N• C••••••• L••

CRD 149905

STAMFORD, CT

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Data as of Mar 31, 2024 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 7
On other graphs: 1
Observed: May 25, 2018 to Mar 31, 2024
11 observations

Across DFX

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

Allocatorsidentity

N• C••••••• L••

Investment consultant · same CRD

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: $297M••• Locked
Discretionary RAUM: $297M
Private client RAUM: $151Mderived••• Locked
Private client share: 51%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• B••••••	MANAGING DIRECTOR - CLIENT SERVICES/CCO	Na	yes	05/2014	May 25, 2018	Mar 31, 2024
D••• L••••• C••••••	SENIOR MANAGING DIRECTOR	D	yes	01/2009	May 25, 2018	Mar 31, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 31, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$297M	$280M	6.0%	$269M	3.3%	5	6	3	4

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••• L••	2	Jan 9, 2025	Jan 14, 2025	STAMFORD, CT	Team lift out	RIA to RIA	66.7%

Relationships

Controls (3)

← H•••• E•••• P••••OwnerMANAGING DIRECTOR - TRADING & ANALYTICS, ownership code NA, individual
May 25, 2018 to presentfactForm ADV
← D••• L••••• C••••••OwnerSENIOR MANAGING DIRECTOR, ownership code D, individual
May 25, 2018 to presentfactForm ADV
← B••••• B••••••OwnerMANAGING DIRECTOR - CLIENT SERVICES/CCO, ownership code NA, individual
May 25, 2018 to presentfactForm ADV

Moved with (1)

→ I••••• L••Registered adviser

Dated events

Order

Occurred
6 Mar 2025
Left the SEC roster
••• Locked
Form ADV
$297M
Occurred
9 Jan 2025
Advisor changed firm3 events
N• C••••••• L••: advisor changed firm, 3 counterparties, on 9 Jan 2025
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
9 Jan 2025
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
5 Jan 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
25 May 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 25, 2018
Last observed: Mar 31, 2024 30 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.