DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM over $100B

L•••• A••••• • C•• L••

CRD 110391

JERSEY CITY, NJ

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Data as of Dec 22, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 490
Dated events: 64
On other graphs: 2
Observed: Dec 23, 2011 to Dec 22, 2025
45 observations

Across DFX

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

Private Creditidentity

L•••• A••••• • C•• L••

Private credit manager · key_cik, key_crd, shared_crd

Private Creditidentity

L••• A••••• P•••••• C••••• A•••••• L••

adv schedule ab owner crd · confidence 100% · family precision 100%

Facts

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

Firm class: asset managerderivedprivate_client_share=0.09 fund_share=0.85 institutional_share=0.05 related_bd=true related_bank=true bd_reps=286.0
Regulatory AUM: $270B••• Locked
Discretionary RAUM: $270B
Private client RAUM: $25Bderived••• Locked
Private client share: 9%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 204
RAUM per advisor: $1.3Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• K•••••• S•••	n/a	JERSEY CITY, NJ	24	25	n/a	yes
M••• D••••• F••••••	n/a	SCARSDALE, NY \| JERSEY CITY, NJ	24	30

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••• A••••• I••••••••• C••• P••• T•••• R••••• T••••	Other Private Fund	$849M	Dec 22, 2025	3	Dec 20, 2024	reported	021-520082
L••• A••••• S•••• D••••••• C••••• T••••	Other Private Fund	$827M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••• D••••••• B••••	MEMBER, MANAGING PARTNER	B	yes	04/2018	Dec 19, 2014	Dec 20, 2024
F•••••• A•••••• L•	MEMBER AND CHIEF FINANCIAL OFFICER	Na	no	07/2019	Aug 12, 2019	Dec 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••• A••••• P•••••• C••••• A•••••• L••	n/a	Asset manager	$1.3B	N	yes	n/a
L••• A••••• F•• A•••••• L••	n/a	Asset manager	$190M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
8	16	-8	7.8%	2	4	0	19	35

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$270B	$201B	34.7%	$262B	1.0%	821	748	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D••••••••• F••• A••••••• L•	2	Jul 31, 2023	Oct 4, 2023	JERSEY CITY, NJ	Team lift out	Other	1.7%
W•••• F•••• A•••••••	2	Jan 5, 2015	Apr 13, 2016

Relationships

showing 80 of 490

Registered with (66)

← R•••••• T••••• D•••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← J•••• K••• R••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← B••••• R••••••• D• L••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← B•••• B•••••

Dated events

8 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
10 Sep 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
22 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
7 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
1 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Apr 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 23, 2011
Last observed: Dec 22, 2025 9 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 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• A•••••• H•••••••••	Chartered Financial Analyst	JERSEY CITY, NJ	20	34	n/a	yes
A•••••• K••••••	n/a	JERSEY CITY, NJ	20	22	n/a	yes
D••••• A• A•••••	n/a	JERSEY CITY, NJ	20	30	n/a	yes
A••• R••••••• K••••	n/a	JERSEY CITY, NJ	20	26	n/a	yes
M•••••• J• B•••••	n/a	JERSEY CITY, NJ	20	22	n/a	yes
D••••• S•••••• S•••••••	n/a	JERSEY CITY, NJ	20	38	1	yes
M•••••• S•••• D••••••	n/a	JERSEY CITY, NJ	19	20	n/a	yes
M•••• S••••	n/a	JERSEY CITY, NJ	18	20	n/a	yes
F•••••• V•••••• P••••	n/a	JERSEY CITY, NJ	18	28	n/a	yes
L••• L•••••• M••••••••	n/a	JERSEY CITY, NJ \| MOORSEVILLE, NC	18	27	1	yes
M•••••• C••••••	n/a	JERSEY CITY, NJ	18	20	n/a	yes
D•••• M•••••• C••••••	n/a	JERSEY CITY, NJ	16	25	n/a	yes
T•••••• J••••• C••••••••	n/a	JERSEY CITY, NJ	16	17	1	yes
B•••• E••• G••••	n/a	JERSEY CITY, NJ	15	24	n/a	yes
J••• R••••• O••••	n/a	Upper Arlington, OH \| JERSEY CITY, NJ	15	20	1	yes

All 13 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••• A••••• I••••••••• C••• E••••• T••••	Other Private Fund	$28.6M	Mar 21, 2017	2	Dec 23, 2011	dropped	021-121014
L••• A••••• I••••••••• B••• L••• T••••	Other Private Fund	$24.6M	Dec 22, 2025	2	Dec 19, 2014	reported	021-218814
L••• A••••• H••• Y•••• T••••	Other Private Fund	$12.7M	Jul 1, 2020	2	Dec 21, 2018	dropped	021-298053

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Dec 19, 2014	$138B	$136B	776	149	n/a	4	$373M
2013	Dec 13, 2013	$136B	$135B	814	154	n/a	2	$140M
2012	Dec 17, 2012	$126B	$124B	797	149	n/a	2	$151M
2011	Dec 23, 2011	$102B	$100B	n/a	n/a	n/a	2	$138M