DFX Intelligence

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

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

A••••••• C•••• P••••••• I•••

CRD 325583

STAMFORD, CT

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Search this name across graphsid dfx:ria:cc8373f4-2ab1-8b61-7dfa-d233800bf7da

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 6, 2023 to Mar 29, 2024
4 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $256M••• Locked
Discretionary RAUM: $256M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• S•••	CHIEF EXECUTIVE OFFICER	Na	yes	02/2023	Mar 6, 2023	Mar 29, 2024
C•••• L•	CHIEF COMPLIANCE OFFICER	Na	yes	02/2023	Mar 6, 2023	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••••• I••••••••• M••••••••• L•••	n/a	Former SEC adviser	$62B	N	yes	n/a
H••• A•••••••• L•••	n/a	Former SEC adviser	$46B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 29, 2024	$256M	$256M	8	4	1	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$256M	n/a	n/a	n/a	n/a	8	n/a	1	n/a

Relationships

Affiliated with (4)

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

Dated events

Occurred
Mar 6, 2023
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc8373f4-2ab1-8b61-7dfa-d233800bf7da
First observed: Mar 6, 2023
Last observed: Mar 29, 2024 30 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.