DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

D••••••• I• L••

CRD 334275

NEW YORK, NY

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Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 22
On other graphs: 1
Observed: Jun 30, 2026 to Sep 16, 2026
2 observations

Across DFX

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

Independent Sponsorsidentity

D••••••• I• L••

Capital provider to sponsors · key_crd, shared_crd

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=true related_bank=false bd_reps=3.0
Regulatory AUM: $273M••• Locked
Discretionary RAUM: $273M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D••••••• M••••• S••• L•• S••••• V• X••	Other Private Fund	$33.1M	Jun 30, 2026	74	Jun 30, 2026	reported	021-514304
D••••••• M••••• S•• L•• S••••• V•• C•••••••	Other Private Fund	$31.4M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• J••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2024	Jun 30, 2026	Jun 30, 2026
N•••••• E•••	President	Na	yes	09/2024	Jun 30, 2026	Jun 30, 2026

Relationships

Advises (21)

→ D••••••• M••••• S•• L•• S••••• I•• A•••••Private fundOther Private Fund, IA
Jun 30, 2026 to presentfactForm ADV
→ D••••••• M••••• S•• L•• S••••• V••• E••••Private fundOther Private Fund, IA
Jun 30, 2026 to presentfactForm ADV
→ D••••••• M••••• S•• L••• S••••• X••• K•••••Private fundOther Private Fund, IA
Jun 30, 2026 to presentfactForm ADV
→ D••••••• M••••• S•• L••• S••••• X•••• A••••••

Dated events

Order

Occurred
30 Jun 2026
Private fund first reported21 events
Private fund first reported: 21 on 30 Jun 2026
$414K to $33.1M
- ••• Locked$33.1M
- ••• Locked$31.4M
- ••• Locked$30.7M
Occurred
30 Jun 2026
Advisor owns new adviser
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 30, 2026
Last observed: Sep 16, 2026 7 days 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 21 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D••••••• M••••• S•• L•• S••••• X•••• Z••••••	Other Private Fund	$8.6M	Jun 30, 2026	77	Jun 30, 2026	reported	021-543763
D••••••• M••••• S•• L••• S••••• X•••• K•••••	Other Private Fund	$7.1M	Jun 30, 2026	76	Jun 30, 2026	reported	021-557901
D••••••• M••••• S•• L••• S••••• X•• P•••••••••	Other Private Fund	$7.1M	Jun 30, 2026	54	Jun 30, 2026	reported	021-564885
D••••••• M••••• S•• L••• S••••• X••• K•••••	Other Private Fund	$6.8M	Jun 30, 2026	57	Jun 30, 2026	reported	021-574042
D••••••• M••••• S•• L•• S••••• X•• X••	Other Private Fund	$6.5M	Jun 30, 2026	23	Jun 30, 2026	reported	021-538995
D••••••• M••••• S•• L•• S••••• X• D••••••	Other Private Fund	$6.3M	Jun 30, 2026	55	Jun 30, 2026	reported	021-538998
D••••••• M••••• S•• L•• S••••• I•• A•••••	Other Private Fund	$6.0M	Jun 30, 2026	65	Jun 30, 2026	reported	021-538989
D••••••• M••••• S•• L•• S••••• X•• A••••••	Other Private Fund	$5.8M	Jun 30, 2026	60	Jun 30, 2026	reported	021-532108
D••••••• M••••• S•• L••• S••••• X•••• A••••••	Other Private Fund	$4.9M	Jun 30, 2026	24	Jun 30, 2026	reported	021-568017
D••••••• M••••• S•• L•• S••••• V••• E••••	Other Private Fund	$611,871	Jun 30, 2026	20	Jun 30, 2026	reported	021-538972
D••••••• M••••• S•• L••• S••••• 1• C•••••	Other Private Fund	$413,556	Jun 30, 2026	8	Jun 30, 2026	reported	021-531941