DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

P••• C••••••• L••

CRD 131212

STAMFORD, CT

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Search this name across graphsid dfx:ria:de6ab985-f3a9-2135-7b7a-62477b6e5ad1

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 1
Observed: Mar 28, 2012 to Mar 30, 2026
20 observations

Across DFX

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

Independent Sponsorsidentity

P••• C••••••• L••

Capital provider to sponsors · key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.02 fund_share=0.35 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $648M••• Locked
Discretionary RAUM: $648M
Private client RAUM: $14.6Mderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••• C•••••• C••••••••• S•••• C•• G••••• F••• I••••••••• T••••	Other Private Fund	$40.5M	Mar 30, 2026	10	Mar 28, 2012	reported	021-9999999999

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••• J••• E•••	Chairman	B	yes	07/2016	Mar 28, 2012	Mar 29, 2024
Y••••••••• A••••••••	PRESIDENT, CHIEF INVESTMENT OFFICER	B	yes	07/2015	Mar 28, 2012	Mar 29, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
JERSEY CITY	Nj	United States	5	no

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	$648M	$729M	-11.1%	$628M	1.0%	9	11	1	1

Relationships

Advises (1)

→ P••• C•••••• C••••••••• S•••• C•• G••••• F••• I••••••••• T••••Private fundOther Private Fund, IA
Mar 28, 2012 to presentfactForm ADV

Owns (6)

← W•••••• N••••••• A••••••OwnerEQUITY TRADER, MEMBER, ownership code B, individual
Mar 29, 2016 to Mar 29, 2024factForm ADV
← H••••••• F•••••••• R•••••••OwnerNATIONAL ACCOUNT REPRESENTATIVE, MEMBER, ownership code B, individual
Mar 29, 2016 to Mar 29, 2024factForm ADV
← H•••••••• J•••• A•••••Owner

Dated events

Occurred
Mar 30, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-334M
Occurred
Mar 31, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$333M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:de6ab985-f3a9-2135-7b7a-62477b6e5ad1
First observed: Mar 28, 2012
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.