DFX Intelligence

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

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 10b 100b

R•••••• A•••• M••••••••• I•••

CRD 110637

NEW YORK, NY

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Data as of Dec 18, 2025 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 5
On other graphs: 0
Observed: Feb 14, 2012 to Dec 18, 2025
24 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: other adviserderived••• Locked
Regulatory AUM: $12B••• Locked
Discretionary RAUM: $12B
Private client RAUM: $198Mderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $4.1Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F••••••• V•••••••••	n/a	San Juan \| NEW YORK, NY	15	27	1	yes
S••••• A••••• R••••••• J••	n/a	NEW YORK, NY	14	34

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••••• C••••• O••••••••• F••• I•• L•••	Hedge Fund	$184M	Dec 18, 2025	14	Mar 29, 2019	reported	021-319848
R•••••• C••••• O••••••••• F••• I•• L•••	Hedge Fund	$155M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••• J•• S•••••• A•••••	PRESIDENT/CEO	Na	yes	11/2009	Feb 14, 2012	Dec 24, 2024
R••••••• J••• S•••••• A•••••	Shareholder	C	yes	12/2012	Feb 14, 2012	Dec 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• A• R•••••• • C••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	9	yes

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
0	0	0	0.0%	0	0	0	0	0

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	$12B	$9.1B	34.4%	$4.7B	37.3%	48	41	1	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•• J••• C•••••• P•••••••• L••	2	Dec 8, 2017	Feb 14, 2012	HATO REY, PR	Team lift out	Other	100.0%

Relationships

Advises (5)

→ R•••••• C••••• O••••••••• F••• I••• L•••Private fundHedge Fund, IA
Aug 14, 2020 to presentfactForm ADV
→ R•••••• C••••• O••••••••• F••• I•• L•••Private fundHedge Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ R•••••• C••••• O••••••••• F••• I•• L•••Private fundHedge Fund, IA
Feb 27, 2024 to presentfactForm ADV
→ R•••••• C••••• O••••••••• F•••• L•••

Dated events

Order

Occurred
24 Dec 2024
Regulatory AUM changed
••• Locked
Form ADV
$3.0B
Occurred
20 Dec 2022
Regulatory AUM changed
••• Locked
Form ADV
$3.7B
Occurred
22 Dec 2021
Regulatory AUM changed
••• Locked
Form ADV
$1.5B
Occurred
18 Dec 2019
Regulatory AUM changed
••• Locked
Form ADV
$1.2B
Occurred
14 Dec 2018
Regulatory AUM changed
••• Locked
Form ADV
$512M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Dec 18, 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 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Dec 24, 2014	$905M	$905M	13	7	n/a	n/a	n/a
2013	Dec 23, 2013	$526M	$526M	12	6	n/a	n/a	n/a
2012	Jan 2, 2013	$660M	$660M	11	5	n/a	n/a	n/a