DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

O••••••• R••••••• L•

CRD 304420

STAMFORD, CT

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Search this name across graphsid dfx:ria:ddeda34e-d798-26c1-e188-42316bc32d68

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 10
On other graphs: 0
Observed: Jun 5, 2019 to Mar 30, 2026
14 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: $640M••• Locked
Discretionary RAUM: $640M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K•••••• A••••••• R••••• F•••• L•	Hedge Fund	$644M	Feb 3, 2023	3	Jun 5, 2019	dropped	021-345160

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•• D•••• L••	LIMITED PARTNER	E	yes	11/2021	Jan 31, 2022	Mar 26, 2024
N••••••• D•••••• B•••••	CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER	A	yes	01/2023	Jan 30, 2023	Mar 26, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Wichita	Ks	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 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	$640M	$592M	8.1%	$416M	15.4%	19	21	1	1

Relationships

Controls (7)

← S•••••• U••••••• G•••••••••OwnerMANAGING MEMBER, ownership code E, individual
Nov 4, 2019 to Mar 26, 2024factForm ADV
← N•••••• T••••• H••OwnerMANAGING MEMBER, ownership code E, individual
Jun 5, 2019 to Mar 26, 2024factForm ADV
← N••••••• D•••••• B•••••OwnerCHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER, ownership code A, individual
Jan 30, 2023 to Mar 26, 2024factForm ADV
← L•• D•••• L••OwnerLIMITED PARTNER, ownership code E, domestic entity
Jan 31, 2022 to Mar 26, 2024

Dated events

Occurred
Mar 26, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$240M
Occurred
Mar 28, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-227M
Occurred
Jan 30, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 30, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ddeda34e-d798-26c1-e188-42316bc32d68
First observed: Jun 5, 2019
Last observed: Mar 30, 2026 5 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.