DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

E•••••• C•••••• •••• L•

CRD 297738

NEW YORK, NY

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Search this name across graphsid dfx:ria:b64aa870-2388-3b72-c614-baedf9f4dc66

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Jul 23, 2018 to Mar 26, 2026
16 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=false related_bank=true bd_reps=0.0
Regulatory AUM: $20B••• Locked
Discretionary RAUM: $20B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• J•••• C•••••••••	L•••••• PARTNER / CHIEF INVESTMENT OFFICER	Na	yes	07/2018	Jul 23, 2018	Mar 26, 2024
A•••••••• J•••• C•••••••••	S••••••••• O• E•••••• C•••••• L••••••• C•••••••• M••••• O• E•••••• C•••••• ••• L••	D	yes	06/2015	Jul 23, 2018	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••• C•••••• ••• L••	n/a	Asset manager	$19B	Y	yes	n/a
E•••••• C•••••• ••• L••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Larkspur	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$20B	$16B	24.5%	$16B	5.8%	8	6	1	1

Relationships

Affiliated with (2)

← E•••••• C•••••• ••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ E•••••• C•••••• ••• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (6)

← E•••••• C•••••• ••• L••OwnerSHAREHOLDER, ownership code E, foreign entity
Jul 23, 2018 to Mar 26, 2024factForm ADV
← N•••• P•••••• C•••••• D•••••Owner

Dated events

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

Occurred
Mar 23, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-11.0B
Occurred
Sep 21, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 21, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b64aa870-2388-3b72-c614-baedf9f4dc66
First observed: Jul 23, 2018
Last observed: Mar 26, 2026 6 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.