DFX Intelligence
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CRD 142633
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| E•••••• W•••••••• | Chartered Financial Analyst | NEW YORK, NY | 5 | 32 | 1 | no |
| D••••• J••••• W••••••• | Chartered Financial Analyst | NEW YORK, NY | 5 | 14 | n/a |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| C•••••• • C• A••••••••• S••••• L•• | Other Private Fund | $6.2M | Mar 30, 2026 | 22 | Sep 24, 2024 | reported | n/a |
| R••••• P••• L•• | Other Private Fund | $6.0M |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••• J••••• E••••• | MANAGING PRINCIPAL AND PORTFOLIO MANAGER | A | yes | 01/2010 | Mar 30, 2026 | Mar 30, 2026 |
| C•••••• M••••••• D•••• | Principal | Na | yes | 04/2013 | Mar 30, 2026 | Mar 30, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S• A••••••••• L•• | n/a | n/a | n/a | Y | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 8 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $7.0B | $6.3B | 10.7% | $1.7B | 61.1% | 40 | 40 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• • C•• | 7 | Feb 13, 2024 | Mar 27, 2024 | NEW YORK, NY | Firm absorbed | RIA to RIA | 100.0% |
| no |
| W•••••• G•••• S••••• | Chartered Financial Analyst | NEW YORK, NY | 5 | 19 | n/a | no |
| J••• V••••• R••••• | Chartered Financial Analyst | NEW YORK, NY | 5 | 18 | n/a | no |
| J•••• E••••• B••••• | Chartered Financial Analyst | NEW YORK, NY | 5 | 16 | n/a | no |
| R••••• P•••••••• M••••••••• | n/a | NEW YORK, NY | 5 | 42 | 1 | no |
| D•••• M••••• | n/a | NEW YORK, NY | 5 | 12 | n/a | no |
| R••••• M•••••• R•••• | n/a | NEW YORK, NY | 5 | 25 | n/a | no |
| M•••••• D•••• C••••• | n/a | NEW YORK, NY | 5 | 13 | n/a | no |
| L••• K•••••• | n/a | NEW YORK, NY | 5 | 12 | n/a | no |
| A•••• L•••• M•••• | n/a | NEW YORK, NY | 5 | 10 | n/a | yes |
| P••• F•••• P••••••• | n/a | NEW YORK, NY | 5 | 17 | n/a | no |
| M••••••• M••• H• M•••••••• | n/a | NEW YORK, NY | 5 | 19 | n/a | no |
| J•••••• T•• | n/a | NEW YORK, NY | 5 | 22 | n/a | no |
| R••••• F•••• S•••••• | n/a | NEW YORK, NY | 2 | 12 | 2 | no |
| J••••• B•••• W••••• | n/a | NEW YORK, NY | 2 | 35 | 2 | no |
| E••••• M••••• G•••• | n/a | NEW YORK, NY | 2 | 15 | 2 | no |
| W••••• K•••••• G•••• | n/a | NEW YORK, NY | 2 | 28 | 2 | no |
| W•••••• H•••• H•••••• I• | n/a | NEW YORK, NY | 2 | 24 | 3 | no |
| I•• B••••• M•••••••• | n/a | NEW YORK, NY | 2 | 45 | 2 | no |
| R••••• C•••••• E••••• | n/a | NEW YORK, NY | 2 | 25 | 2 | no |
| D•••• J••••••• M••••••• | n/a | NEW YORK, NY | 1 | 32 | n/a | no |
| N••••••• A• P••••• | n/a | NEW YORK, NY | 0 | 11 | 2 | no |
| 17 |
| Sep 24, 2024 |
| reported |
| n/a |
| MANAGING PRINCIPAL AND PORTFOLIO MANAGER |
| A |
| yes |
| 01/2024 |
| Mar 30, 2026 |
| Mar 30, 2026 |
| F•••••• M••••••• A••• | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | Na | yes | 01/2026 | Mar 30, 2026 | Mar 30, 2026 |
| M••••••••• M•••••••• M••• H• | MEMBER AND PRINCIPAL | Na | yes | 01/2007 | Mar 30, 2026 | Mar 30, 2026 |
| M•••••••• D••••• J••••••• | PRINCIPAL AND PORTFOLIO MANAGER | B | yes | 03/2026 | Mar 30, 2026 | Mar 30, 2026 |
| M••••••••• R•••••• P•••••••• | MEMBER AND PRINCIPAL | A | yes | 10/2011 | Mar 30, 2026 | Mar 30, 2026 |
| P•• A••••••••• C•••• I••• | Member | D | yes | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| P•••••••• P•••• F•••• | MEMBER AND PRINCIPAL | Na | yes | 07/2009 | Mar 30, 2026 | Mar 30, 2026 |
| R•••••• J•••• V••••• | MEMBER AND PRINCIPAL | Na | yes | 05/2008 | Mar 30, 2026 | Mar 30, 2026 |
| R••••• R•••••• M•••••• | MANAGING PRINCIPAL AND PORTFOLIO MANAGER | A | yes | 01/2007 | Mar 30, 2026 | Mar 30, 2026 |
| S•••••• W••••••• G•••• | Principal | Na | yes | 01/2007 | Mar 30, 2026 | Mar 30, 2026 |
| W•••••• J•••••• B•••• | CHAIRMAN AND PORTFOLIO MANAGER | Na | yes | 07/2025 | Mar 30, 2026 | Mar 30, 2026 |
| A••••• A•• A••••••••• H•••••••• L•• | Member | B | yes | 01/2007 | Jan 18, 2012 | Nov 21, 2024 |
| E•••••• R•••••• C•••••• | Trustee | F | yes | 09/2023 | Jan 24, 2024 | Nov 21, 2024 |
| H•••••• E••••••••• W• | Trustee | F | yes | 09/2023 | Jan 24, 2024 | Nov 21, 2024 |
| L•••••••• H••••• •••• | Manager | F | yes | 03/2009 | Jan 18, 2012 | Nov 21, 2024 |
| L•••• J•••••••• B•••••• | Trustee | F | yes | 02/2021 | Jan 24, 2024 | Nov 21, 2024 |
| M••••••••• L••••• N•• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2024 | Sep 24, 2024 | Nov 21, 2024 |
| S•••••• W••••••• G•••• | MANAGER & MEMBER | D | yes | 11/2006 | Jan 18, 2012 | Nov 21, 2024 |
| W•••• W••••••• S••••• | Manager | F | yes | 12/2006 | Jan 18, 2012 | Nov 21, 2024 |
| 2••• I•• B• M••••••••• J•• F••••• | Member | A | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| G••••• E•••••• M••••• | Principal | Na | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| G••••• W•••••• K•••••• | Principal | Na | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| H•••••• I•• W••••••• H•••• | Principal | Na | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| M••••••••• I••• B••••• | Principal | Na | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| S••••••• R•••••• F•••• | Principal | Na | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| S••••• • C•• L•• | Member | Na | no | 11/2006 | Mar 30, 2026 | Mar 30, 2026 |
| T•• J••••• B• W••••• R•••••••• | Member | B | no | 06/2025 | Mar 30, 2026 | Mar 30, 2026 |
| T•••• R•••••• C•••••• | MEMBER AND PRINCIPAL | Na | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| W••••••• P•••• A••••• | MEMBER AND PRINCIPAL | A | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| W••••••••• E•••••• | Principal | Na | no | 01/2020 | Mar 30, 2026 | Mar 30, 2026 |
| W•••••••• D•••••• J••••• | Principal | Na | no | 01/2024 | Mar 30, 2026 | Mar 30, 2026 |
| 2••• I•• B• M••••••••• J•• F••••• D•••••• T•••• | Member | B | no | 01/2024 | Jan 24, 2024 | Nov 21, 2024 |
| J••••••• B• L••• R•••••••• T•••• | Member | A | no | 01/2024 | Jan 24, 2024 | Nov 21, 2024 |
| K••••• P•••••••• A•• | MEMBER AND PRINCIPAL | Na | no | 01/2024 | Jan 24, 2024 | Nov 21, 2024 |
| Mar 30, 2026 |
| $7.0B |
| $6.8B |
| 40 |
| 17 |
| 1 |
| 2 |
| n/a |
| 2024 | Jan 17, 2025 | $6.3B | $6.2B | 40 | 17 | 0 | 2 | n/a |
| 2023 | Mar 20, 2024 | $5.9B | $5.8B | 40 | 19 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $1.7B | $1.6B | 17 | 9 | 0 | n/a | n/a |
| 2021 | Mar 24, 2022 | $2.0B | $2.0B | 17 | 9 | 0 | n/a | n/a |
| 2020 | Mar 26, 2021 | $1.8B | $1.8B | 15 | 8 | 0 | n/a | n/a |
| 2019 | Mar 9, 2020 | $1.5B | $1.4B | 12 | 6 | 0 | n/a | n/a |
| 2018 | Mar 4, 2019 | $1.2B | $1.2B | 15 | 7 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.3B | $1.3B | 15 | 7 | 0 | n/a | n/a |
| 2016 | Mar 10, 2017 | $1.2B | $1.2B | 15 | 7 | n/a | n/a | n/a |
| 2015 | Mar 14, 2016 | $1.3B | $1.3B | 14 | 7 | n/a | n/a | n/a |
| 2014 | Feb 11, 2015 | $1.3B | $1.2B | 14 | 7 | n/a | n/a | n/a |
| 2013 | Mar 19, 2014 | $1.2B | $1.1B | 14 | 7 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $863M | $811M | 16 | 9 | n/a | n/a | n/a |
| 2011 | Jan 18, 2012 | $859M | $795M | n/a | n/a | n/a | n/a | n/a |