DFX Intelligence

S••••• F•••• 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

S••••• F•••• C•••••• M••••••••• L•

CRD 306994

NORWALK, CT

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Search this name across graphsid dfx:ria:d2c35544-9c9d-64b0-8572-401ac7c20061

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Jun 19, 2023 to Apr 30, 2026
8 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $390M••• Locked
Discretionary RAUM: $390M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• F•••••• L••	LIMITED PARTNER	E	yes	12/2016	Jun 19, 2023	Mar 26, 2024
C••••••• B••••• M••••••	MANAGING MEMBER	E	yes	12/2016	Jun 19, 2023	Mar 26, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 30, 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	$390M	$399M	-2.3%	n/a	n/a	4	4	0	0

Relationships

Controls (5)

← W•••••• H•••••• B••••OwnerCHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 26, 2024 to Mar 26, 2024factForm ADV
← C••••••• B••••• M••••••OwnerMANAGING MEMBER, ownership code E, individual
Jun 19, 2023 to Mar 26, 2024factForm ADV
← C••••••• R••••••• E••••OwnerTRUSTEE, ownership code F, individual
Jun 19, 2023 to Mar 26, 2024factForm ADV
← C•••••• F•••••• L••OwnerLIMITED PARTNER, ownership code E, domestic entity
Jun 19, 2023 to Mar 26, 2024

Dated events

Occurred
Mar 26, 2024
Control person joined
Brent Harold Wofsey (Chief Compliance Officer / Chief Operating Officer) appeared on Schedule A of S••••• F•••• C•••••• M••••••••• L•
Form ADVobserved 7 days ago
Occurred
Nov 29, 2023
Regulatory AUM changed
S••••• F•••• C•••••• M••••••••• L• reported RAUM $338.9M, up 226% from $104.1M (2023-07-20 to 2023-11-29)
Form ADVobserved 7 days ago
$235M
Occurred
Jun 19, 2023
First Form ADV filing
S••••• F•••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2c35544-9c9d-64b0-8572-401ac7c20061
First observed: Jun 19, 2023
Last observed: Apr 30, 2026 4 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.