DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

O•• R•••• A•••• M••••••••• L••

CRD 167835

STAMFORD, CT

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Search this name across graphsid dfx:ria:d681c011-9a1b-9c83-51c4-d18bc68c3757

Data as of Jul 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 23
On other graphs: 0
Observed: Jun 17, 2013 to Jul 22, 2026
51 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=0.73 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $2.4B••• Locked
Discretionary RAUM: $2.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O• 5•• O••••••• F••• L••	Hedge Fund	$1.7B	Mar 29, 2018	29	Feb 7, 2014	dropped	021-201410
P••••• T••••••• S•• F••• L•• O•• R•••• D•••••• C•••••••• S•	Hedge Fund	$785M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• A••••••• M••••••	Trustee	F	yes	11/2012	Mar 29, 2022	Jun 26, 2024
G••••• G•••••••• T•••••	Trustee	F	yes	11/2012	Jun 17, 2013	Jun 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••• A•••• M••••••••• L••	n/a	Other adviser	$840M	N	yes	n/a

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	$2.4B	$3.2B	-25.0%	$2.5B	-2.2%	22	30	0	0

Relationships

Affiliated with (1)

→ C••••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (16)

→ O•• R•••• C••••• D••••••••• S••••••• 1• L•••Private fundHedge Fund, IA
Jun 28, 2023 to presentfactForm ADV
→ P••••• R••• T••••••• S•• F••• L•• P••••• R••• S••••••••• P•••••••• I•Private fundHedge Fund, IA
Aug 12, 2015 to presentfactForm ADV

Dated events

Occurred
Jul 22, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-1.0B
Occurred
Jul 22, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$88.9M
Occurred
Jul 22, 2026
Private fund no l•••er reported
••• Locked
Form ADVobserved today
0 USD_GAV
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d681c011-9a1b-9c83-51c4-d18bc68c3757
First observed: Jun 17, 2013
Last observed: Jul 22, 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.