DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

D••• F•••••• M••••••••• L•••••

CRD 117590

OLD GREENWICH, CT

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Search this name across graphsid dfx:ria:b3492786-4310-a0ed-6c9e-4cd852a3beca

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 13
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
30 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0
Regulatory AUM: $127M••• Locked
Discretionary RAUM: $127M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 164

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D••• F•••••• H••• G•••• I• L•••	Securitized Asset Fund	$419M	May 20, 2022	6	Mar 30, 2012	dropped	n/a
D••• F•••••• V•••• L•••	Securitized Asset Fund	$76.5M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• R••••••• A••••••	MANAGING DIRECTOR AND CHIEF OPERATING OFFICER	Na	yes	12/2004	Mar 30, 2012	Mar 27, 2024
E•••••••• M••••••••• G••••• L•••••	Member	E	yes	04/2001	Mar 30, 2012	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••••• M••••••••• G••••• L•••••	n/a	Asset manager	$21B	Y	yes	n/a
E•••••••• F•••••••• M••••••••• L••	n/a	Asset manager	$19B	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	$127M	$152M	-16.3%	$166M	-8.6%	164	160	0	0

Relationships

Affiliated with (9)

← E•••••••• M••••••••• G••••• L•••••Registered adviserother investment adviser, control, common control
factForm ADV
→ E•••••••• M••••••••• G••••• L•••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ E•••••••• G••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ E•••••••• F•••••••• M••••••••• L••Registered adviser

Dated events

Occurred
Jan 11, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 11, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 20, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3492786-4310-a0ed-6c9e-4cd852a3beca
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.