DFX Intelligence

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

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

S••• A•••••• I••••••••• P•••••••

S••• A•••••• I••••••••• P•••••••, LLC, CRD 165370

ROSLYN HEIGHTS, NY

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Search this name across graphsid dfx:ria:c917f587-c022-0619-e64e-f475f0a7ad93

Data as of Aug 27, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 2
Observed: Jun 30, 2017 to Aug 27, 2020
10 observations

Across DFX

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

Private Equityidentity

S••• A•••••• I••••••••• P•••••••

Private equity manager · shared crd

Venture Capitalidentity

S••• A•••••• I••••••••• P•••••••

Venture manager · 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: $621M••• Locked
Discretionary RAUM: $621M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• W••••••• A••••••	CHIEF EXECUTIVE OFFICER	Na	yes	04/2011	Jun 30, 2017	Aug 27, 2020
M•••••• M•••• D••••••	CHIEF INVESTMENT OFFICER	Na	yes	01/2012	Jun 30, 2017	Aug 27, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••••• C•••••• N•••• A•••••• L••	n/a	Asset manager	$6.2B	Y	yes	n/a
S••• A•••••• C•••••• A•••••••• L••	n/a	n/a	n/a	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020

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	$621M	$300M	107.1%	n/a	n/a	20	19	0	2

Relationships

Affiliated with (1)

→ T•••••• C•••••• N•••• A•••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

← T•••••• C•••••• N•••• A•••••• L••OwnerOWNER, ownership code E, domestic entity
Aug 27, 2020 to presentfactForm ADV
← P••••• C•••••••••OwnerPRESIDENT, ownership code NA, individual
Jun 30, 2017 to presentfactForm ADV
← M•••••• W••••••• A••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 30, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$308M
Occurred
Mar 10, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 10, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 30, 2017
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c917f587-c022-0619-e64e-f475f0a7ad93
First observed: Jun 30, 2017
Last observed: Aug 27, 2020 73 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.