DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

R••••• C••••• A••••••• L•

CRD 298909

NEW YORK, NY

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Search this name across graphsid dfx:ria:b70905e0-d2f5-8615-1c55-2172332f849b

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 6
On other graphs: 1
Observed: Sep 28, 2018 to Mar 26, 2026
12 observations

Across DFX

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

Private Creditidentity

R••••• C••••• A••••••• L•

Private credit manager · shared crd

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: $3.1B••• Locked
Discretionary RAUM: $3.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 76

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R••••• W••• L•••	Securitized Asset Fund	$452M	Mar 27, 2024	2	Sep 28, 2018	reported	n/a
R••••• C••••• L•••	Securitized Asset Fund	$428M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• A•••• S••••	Manager	Na	yes	11/2017	Sep 28, 2018	Mar 27, 2024
L•••••• D••••• H•••••	PRESIDENT OF R•••••; LIMITED PARTNER; MANAGER	B	yes	11/2017	Sep 28, 2018	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• C•••••• M••••••••• I•••	n/a	Other adviser	$35B	N	yes	n/a
R••••• C•• A••••••• L••	n/a	n/a	n/a	Y	yes	n/a
R••••• C•• V••••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	3	no
BOCA RATON	FL	United States	0	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	$3.1B	$3.3B	-5.9%	$3.2B	-1.0%	76	73	2	2

Relationships

Affiliated with (1)

→ S••••••• C•••••• M••••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (9)

→ R••••• W••• L•••Private fundSecuritized Asset Fund, IA
Sep 28, 2018 to presentfactForm ADV
→ R••••• C•••••• L•••Private fundSecuritized Asset Fund, IA
Mar 30, 2020 to presentfactForm ADV
→

Dated events

Occurred
Mar 30, 2023
Control person joined
J Daniel Mangiero (Chief Operating Officer) appeared on Schedule A of R••••• C••••• A••••••• L•
Form ADVobserved 7 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
R••••• C••••• A••••••• L• reported RAUM $3.6B, up 42% from $2.5B (2021-03-30 to 2022-03-30)
Form ADVobserved 7 days ago
$1.0B
Occurred
Jul 10, 2020
Control person left
Berish Dov Braun (Chief Financial Officer; Manager) no longer on Schedule A of R••••• C••••• A••••••• L• (listed 2020-03-30, absent 2020-07-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b70905e0-d2f5-8615-1c55-2172332f849b
First observed: Sep 28, 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.