DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

L••••• A•••• M••••••••• C••••• I••

L••••• A•••• M••••••••• (C•••••)INC, CRD 106340

NEW YORK, NY

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Search this name across graphsid dfx:ria:be3943e4-33a2-0605-91d8-f747be27be9d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 6
On other graphs: 0
Observed: Mar 16, 2012 to Mar 31, 2026
30 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: other adviserderivedprivate_client_share=0.0 fund_share=0.43 institutional_share=0.14 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $2.3B••• Locked
Discretionary RAUM: $2.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• M•••• R••••••	GENERAL COUNSEL	Na	yes	04/2017	Apr 17, 2017	Jul 22, 2024
L••••• A•••• M••••••••• L••	Parent	E	yes	01/2003	Mar 16, 2012	Jul 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••• A•••• M••••••••• L••	n/a	Other adviser	$121B	Y	yes	n/a
E•••••••• S•••••••• L••	n/a	Asset manager	$2.8B	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	$2.3B	$2.7B	-14.9%	$3.4B	-12.2%	0	0	0	0

Relationships

Affiliated with (7)

← E•••••••• S•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ L••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ E•••••••• S•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← L••••• A•••• M••••••••• L••Registered adviser

Dated events

Occurred
Mar 29, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-1.4B
Occurred
Mar 29, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 29, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 29, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be3943e4-33a2-0605-91d8-f747be27be9d
First observed: Mar 16, 2012
Last observed: Mar 31, 2026 5 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.