DFX Intelligence

S•••••• A•••• M••••••••• ••• Y••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S•••••• A•••• M••••••••• ••• Y••••• I•••

CRD 133827

NEW Y•••, NY

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Search this name across graphsid dfx:ria:b700aad3-d9bc-c58e-3cf4-1a654612b6d1

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 8
On other graphs: 0
Observed: Mar 23, 2012 to Mar 25, 2026
28 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=0.98 institutional_share=0.02 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $8.2B••• Locked
Discretionary RAUM: $8.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• J•• A• N••	PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	01/2023	Jan 3, 2023	Mar 7, 2024
S•••••• A•••• M••••••••• C••••••• L•••	Owner	E	yes	02/2015	Feb 4, 2015	Mar 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• A•••• M••••••••• C••••••• L•••	n/a	Other adviser	$301B	Y	yes	n/a
S•••••• A•••• M••••••••• •••• K•••• L••••••	n/a	Former SEC adviser	$775M	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	$8.2B	$6.8B	19.6%	$5.5B	14.2%	13	13	0	0

Relationships

Affiliated with (4)

← S•••••• A•••• M••••••••• C••••••• L•••Registered adviserother investment adviser, control
factForm ADV
→ S•••••• A•••• M••••••••• C••••••• L•••Registered adviserother investment adviser, control, common control
factForm ADV
→ S•••••• A•••• M••••••••• •••• K•••• L••••••Registered adviserother investment adviser, common control
factForm ADV
← S•••••• A•••• M••••••••• •••• K•••• L••••••Registered adviser

Dated events

Occurred
Nov 13, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 13, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b700aad3-d9bc-c58e-3cf4-1a654612b6d1
First observed: Mar 23, 2012
Last observed: Mar 25, 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.