DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C•••••• C•••••• M••••••••• L••

CRD 142766

NEW YORK, NY

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Search this name across graphsid dfx:ria:cf58f02d-4033-a6e4-caf3-570a44992979

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 3
On other graphs: 1
Observed: Mar 15, 2012 to Jul 14, 2026
49 observations

Across DFX

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

Private Creditidentity

C•••••• C•••••• M••••••••• 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=false bd_reps=1.0
Regulatory AUM: $561M••• Locked
Discretionary RAUM: $561M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••• C•• V••• L••••••	Securitized Asset Fund	$346M	Mar 27, 2024	20	Apr 6, 2020	reported	n/a
S•••••• C•• V•• L•••••• •••••••• S•••••• C•• I• L•••••••	Securitized Asset Fund	$346M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• T•••••	CHIEF OPERATING OFFICER	Na	yes	05/2013	May 2, 2013	Mar 27, 2024
C•••••••• A••••••• R••••••	Owner	E	yes	06/2006	Mar 15, 2012	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$561M	$938M	-40.2%	$1.6B	-29.9%	10	13	0	0

Relationships

Advises (11)

→ C•••••• L••••• A•••• S••••••••• L••Private fundHedge Fund, IA
Feb 17, 2023 to presentfactForm ADV
→ S•••••• C•• V•• L•••••• •••••••• S•••••• C•• I• L•••••••Private fundSecuritized Asset Fund, IA
Mar 25, 2014 to presentfactForm ADV
→ S•••••• C•• V• L•••••• •••••••• S•••••• C•• I• L•••••••Private fundSecuritized Asset Fund, IA
Dec 6, 2013 to presentfactForm ADV
→ S•••••• C•• V••• L••••••

Dated events

Occurred
Feb 19, 2025
Regulatory AUM changed
C•••••• C•••••• M••••••••• L•• reported RAUM $937.0M, down 28% from $1.3B (2024-03-27 to 2025-02-19)
Form ADVobserved 7 days ago
$-369M
Occurred
Mar 24, 2020
Control person joined
D Richard Levinson (Senior Managing Director, Business Development) appeared on Schedule A of C•••••• C•••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 26, 2019
Regulatory AUM changed
C•••••• C•••••• M••••••••• L•• reported RAUM $1.4B, up 27% from $1.1B (2018-08-02 to 2019-03-26)
Form ADVobserved 7 days ago
$305M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cf58f02d-4033-a6e4-caf3-570a44992979
First observed: Mar 15, 2012
Last observed: Jul 14, 2026 2 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.