DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

W•••••• C•••••• P••••••• ••• L•

CRD 320777

STAMFORD, CT

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Search this name across graphsid dfx:ria:c9a1163d-7d59-38e8-c659-3f14a0613bc8

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 7
On other graphs: 1
Observed: Feb 13, 2023 to Mar 26, 2026
8 observations

Across DFX

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

Private Creditidentity

W•••••• C•••••• P••••••• ••• L•

Private credit manager · shared crd

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=true bd_reps=0.0
Regulatory AUM: $3.3B••• Locked
Discretionary RAUM: $3.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•••••• E••••••• L••• F••• I• L•••	Securitized Asset Fund	$122M	Nov 26, 2024	79	Feb 13, 2023	reported	021-461517
W•••••• C••••• S•••••••• L•	Other Private Fund	$30.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• I••• J••••••	Partner	D	yes	03/2022	Feb 13, 2023	Nov 26, 2024
C••••••• M••••••	PARTNER, CHIEF COMPLIANCE OFFICER	Na	yes	04/2022	Feb 13, 2023	Nov 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• C•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
W•••••• C••••• S•••••••• G•••••• P•••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 2026

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	$3.3B	n/a	n/a	n/a	n/a	11	n/a	1	n/a

Relationships

Advises (2)

→ W•••••• E••••••• L••• F••• I• L•••Private fundSecuritized Asset Fund, IA
Feb 13, 2023 to presentfactForm ADV
→ W•••••• C••••• S•••••••• L•Private fundOther Private Fund, ERA, no longer reported
Jun 8, 2022 to Feb 13, 2023factForm ADV

Controls (4)

← M••••••• A••••••• S••••••••OwnerPARTNER, ownership code D, individual
Feb 13, 2023 to Nov 26, 2024factForm ADV
← B••••••• I••• J••••••

Dated events

Occurred
Mar 26, 2026
Regulatory AUM changed
W•••••• C•••••• P••••••• ••• L• reported RAUM $3.3B, up 52% from $2.2B (2025-05-01 to 2026-03-26)
Form ADVobserved 7 days ago
$1.1B
Occurred
May 1, 2025
Regulatory AUM changed
W•••••• C•••••• P••••••• ••• L• reported RAUM $2.2B, up 408% from $432.5M (2024-11-26 to 2025-05-01)
Form ADVobserved 7 days ago
$1.8B
Occurred
Mar 28, 2024
Regulatory AUM changed
W•••••• C•••••• P••••••• ••• L• reported RAUM $432.5M, down 66% from $1.3B (2023-07-11 to 2024-03-28)
Form ADVobserved 7 days ago
$-831M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9a1163d-7d59-38e8-c659-3f14a0613bc8
First observed: Feb 13, 2023
Last observed: Mar 26, 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.