DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

C••••••••• C•••••• A•••••••• L••

CRD 108023

ROCHESTER, NY

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Search this name across graphsid dfx:ria:e066b545-8836-7587-664b-66a49a624e9e

Data as of Oct 18, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 25
On other graphs: 3
Observed: Mar 27, 2012 to Oct 18, 2025
30 observations

Across DFX

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

Private Equityidentity

C••••••••• C•••••• A•••••••• L••

Private equity manager · shared crd

Private Creditidentity

C••••••••• C•••••• A•••••••• L••

Private credit manager · shared crd

Real Estate Fundsidentity

C••••••••• C•••••• A•••••••• L••

Real estate fund manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.9B••• Locked
Discretionary RAUM: $2.9B
Private client RAUM: $2.5Bderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 43

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••••• P•••••• R••• E••••• F•••• L•	Real Estate Fund	$27.6M	Jun 20, 2024	99	Mar 29, 2017	reported	021-269399
C••••••••• P•••••• R••• E••••• F••• 2• L•	Real Estate Fund	$26.4M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• T•••••• M•••••	Member	A	yes	03/1998	Mar 27, 2012	Jun 20, 2024
D••••••••• J•••• T•••••	MEMBER, CEO	C	yes	01/2015	Mar 27, 2012	Jun 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• P•••••• P••••••• P•••••••• S•••••• L•• • C•••• S•••••	n/a	n/a	n/a	Y	yes	n/a
C••••••••• P•••••• P••••••• P•••••••• S•••••• L•• • C•••• S•••••	n/a	n/a	n/a	Y	yes	n/a
C••••••••• P•••••• P••••••• P•••••••• S•••••• L•• • C•••• S•••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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	20	-20	n/a	0	0	0	1	20

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	$2.9B	$2.6B	13.8%	$2.7B	3.0%	43	41	2	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••	20	Dec 31, 2025	Nov 6, 2025	ROCHESTER, NY	Firm absorbed	Other	100.0%

Relationships

Advises (13)

→ C•• M••••• O••••••••• L•Private fundReal Estate Fund, IA
Mar 21, 2024 to presentfactForm ADV
→ C•• B•••••• I••••••••• L•Private fundReal Estate Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ C•• N•••••••• I••••••••• L•Private fundReal Estate Fund, IA
Mar 23, 2023 to presentfactForm ADV
→ C••••••••• P•••••• C••••• F•••• L•

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 31, 2025
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
20 advisors
Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e066b545-8836-7587-664b-66a49a624e9e
First observed: Mar 27, 2012
Last observed: Oct 18, 2025 11 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.