DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

V•• A•••••••• L••

CRD 301023

NEW YORK, NY

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Search this name across graphsid dfx:ria:e6d622dc-f830-c401-4829-9c308677a156

Data as of Jul 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 27
On other graphs: 0
Observed: Mar 22, 2019 to Jul 23, 2026
18 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

V•••••• C•••••• P•••••••• L•••

owned by this firm per Schedule A, named with its CRD in Item 7.A · confidence 90% · family precision 100%

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=true bd_reps=0.0
Regulatory AUM: $957M••• Locked
Discretionary RAUM: $957M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 78

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• R•••••• J••••	Treasurer	Na	yes	12/2023	Mar 22, 2019	Dec 19, 2024
L• G•••• N•••••• N••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Mar 29, 2024	Dec 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••• I•••••••• L••	n/a	Asset manager	$94B	N	yes	n/a
A•• P••••••• L••	n/a	Asset manager	$68B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	2	no
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
2025	Mar 31, 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	$957M	$947M	1.0%	$760M	8.0%	78	76	4	4

Relationships

Affiliated with (23)

← N•••••• I•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← M•• S•••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
← M•• G••••• P•••••• M•••••• •••• I•••Registered adviserother investment adviser, common control
factForm ADV
← A•• P••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 29, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 29, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 22, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 15, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6d622dc-f830-c401-4829-9c308677a156
First observed: Mar 22, 2019
Last observed: Jul 23, 2026 2 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.