DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

O••••• L••• M••••••••• L••

CRD 154380

GREENWICH, CT

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Search this name across graphsid dfx:ria:be8cb7ef-fefd-bed9-6248-f5d815478fb4

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 3
On other graphs: 0
Observed: Mar 30, 2012 to Mar 27, 2026
19 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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
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: 23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• J•••••••• H•••••	MANAGING MEMBER	D	yes	12/2002	Mar 30, 2012	Mar 27, 2024
C••••• J•••••••• H•••••	Ceo	Na	yes	06/2010	Mar 30, 2012	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••• S••••• M••••••••• L••	n/a	Asset manager	$307M	N	yes	n/a
O••••• G••• M••••••••• L••	n/a	Asset manager	$90.9M	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	$2.5B	-9.2%	$1.3B	22.2%	23	24	0	0

Relationships

Affiliated with (8)

→ O••••• S••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ O••••• G••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ O••••• P••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← O••••• S••••• M••••••••• L••Registered adviser

Dated events

Occurred
Mar 27, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$987M
Occurred
Mar 29, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$503M
Occurred
Mar 27, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$203M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be8cb7ef-fefd-bed9-6248-f5d815478fb4
First observed: Mar 30, 2012
Last observed: Mar 27, 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.