DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

P••••••••• S••••• S••••••••• L••

CRD 286153

NEWARK, NJ

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Search this name across graphsid dfx:ria:be0a2dc8-e4d0-cae1-fc13-72f8e8479f74

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 65
Dated events: 40
On other graphs: 0
Observed: Dec 22, 2016 to Mar 17, 2026
38 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.01 institutional_share=0.99 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $23B••• Locked
Discretionary RAUM: $17B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 64

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• P•••••••• E••••••••	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	03/2023	Mar 31, 2023	Jun 20, 2024
H•••••• A•••••• P••••	CHIEF LEGAL OFFICER	Na	yes	01/2023	Jan 24, 2023	Jun 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• I•••	n/a	Other adviser	$1132B	N	yes	n/a
P••• I••••••••• L••	n/a	Asset manager	$345B	N	yes	n/a

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	$23B	$22B	4.9%	$62B	-28.5%	64	55	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••• S••••••••• L••	2	Mar 15, 2021	Mar 15, 2021	PLYMOUTH, MN	Channel change	RIA to ibd	33.3%
P•••• S••••••••• L••	2	Dec 31, 2020	Oct 28, 2020

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• P•••••••• S••••••••• I•••	4	Dec 31, 2018	Aug 2, 2019	HARTFORD, CT	Team lift out	Other	17.4%
G••••• P•••••••• S••••••••• I•••	9	Dec 31, 2018	May 31, 2019

Relationships

Affiliated with (13)

← P••• Q••••••••• S••••••••Registered adviserother investment adviser, common control
factForm ADV
← P•••• S••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ P••• I••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ P•••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control

Dated events

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

Occurred
Mar 17, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 25, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-42.5B
Occurred
Mar 25, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be0a2dc8-e4d0-cae1-fc13-72f8e8479f74
First observed: Dec 22, 2016
Last observed: Mar 17, 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.