DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

H••••••••• A•••• M••••••••• C•••••••••

CRD 104979

NEW YORK, NY

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Search this name across graphs

Data as of Feb 8, 2021 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 64
Dated events: 17
On other graphs: 1
Observed: Mar 30, 2012 to Feb 8, 2021
18 observations

Across DFX

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

Private Creditidentity

H••••••••• A•••• M••••••••• C•••••••••

Private credit manager · key_crd, shared_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $386M••• Locked
Discretionary RAUM: $386M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••••••• F•••••• L••••••	Securitized Asset Fund	$887M	Mar 31, 2014	7	Mar 30, 2012	dropped	n/a
A•••••••• I• F•••••• L••••••	Securitized Asset Fund	$284M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• L••••• A••••••	DIRECTOR, CHIEF EXECUTIVE OFFICER, AND PRESIDENT	Na	yes	10/2020	Nov 10, 2020	Feb 8, 2021
I•••••• A•••••••• I•••	SOLE SHAREHOLDER	E	yes	05/2019	Jun 24, 2019	Feb 8, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• C•••••• M••••••••• L••	n/a	Asset manager	$941B	N	yes	n/a
I•••••• A•••••••• I•••	n/a	Asset manager	$750B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Centennial	Co	United States	7	no
DOWNERS GROVE	IL	United States	7	no
London	n/a	United Kingdom	6	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$386M	$392M	-1.3%	$401M	-1.2%	0	22	3	1

Relationships

Affiliated with (43)

← I•••••• H••• K••• L••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← I•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← I•••••• M•••••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← I•••••• A•••••••• I•••

Dated events

Order

Occurred
4 Feb 2021
Control person joined
••• Locked
Form ADV
Occurred
4 Feb 2021
Control person left
••• Locked
Form ADV
Occurred
10 Nov 2020
Control person joined3 events
H••••••••• A•••• M••••••••• C•••••••••: control person joined, 3 events, on 10 Nov 2020
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
10 Nov 2020
Control person left3 events
H••••••••• A•••• M••••••••• C•••••••••: control person left, 3 events, on 10 Nov 2020
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
23 Mar 2020
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Feb 8, 2021 68 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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••••••• A••••••••• C•••• •••••	SOLE SHAREHOLDER	E	yes	10/1990	Jun 24, 2019	Feb 8, 2021
O•••••••••	SOLE SHAREHOLDER	E	yes	12/2019	Mar 30, 2012	Feb 8, 2021

All 31 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• A•••• M••••••••• •••••• P••• L•••	n/a	Former SEC adviser	$10B	N	yes	n/a
I•••••• I••••••••• A••••••• L••	n/a	Asset manager	$4.4B	N	yes	n/a
I•••••• G••••• R••• E••••• A••• P••••••• I•••	n/a	Former SEC adviser	$3.1B	N	yes	n/a
I•••••• P•••••• C••••••• I•••	n/a	Asset manager	$860M	N	yes	n/a
J••••••• I•••	n/a	Asset manager	$824M	N	yes	n/a
W• R••• • C•• L••	n/a	Asset manager	$225M	N	yes	n/a
O••••••••• I••	n/a	Asset manager	$827,684	Y	no	n/a
F••• R••••• I••••••••• M••••••••• C••• L•••	n/a	n/a	n/a	N	yes	n/a
I•••••• A•••• M••••••••• S•	n/a	n/a	n/a	N	yes	n/a
I•••••• C•••••• M••••••• I•••	n/a	n/a	n/a	N	yes	n/a
I•••••• D••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
I•••••• E••••••• R• L•••	n/a	n/a	n/a	N	yes	n/a
I•••••• F••• M••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•••••• I•••••••• A•••••• I•••	n/a	n/a	n/a	N	yes	n/a
I•••••• I••••••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•••••• M••••••••• S•••	n/a	n/a	n/a	N	yes	n/a
I•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•••••• R• F••• L•••	n/a	n/a	n/a	N	yes	n/a
I•••••• S••••••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•••••• T•••• C••••••	n/a	n/a	n/a	N	yes	n/a
I•• ••••••• L••••••	n/a	n/a	n/a	N	yes	n/a