DFX Intelligence

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

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RIA / WealthRegistered adviserInstitutional managerSEC registeredRAUM 100m 1b

F•••••• S••••• A•••• M••••••••• L••

CRD 310545

NEW Y•••, NY

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 1
Observed: Aug 13, 2020 to Mar 31, 2026
11 observations

Across DFX

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

Independent Sponsorsidentity

F•••••• S••••• A•••• M••••••••• L••

Capital provider to sponsors · same CRD, same SEC file number

Facts

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

Firm class: institutional managerderived••• Locked
Regulatory AUM: $229M••• Locked
Discretionary RAUM: $197M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•• Y••• C••• A••••••••• F•••• L••	Other Private Fund	$126M	Mar 31, 2026	2	Aug 13, 2020	reported	n/a
N••••••••• I••••••••• I••••• F•••• I•••	Other Private Fund	$62.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• C••••••• S••••••••	CHAIRMAN / CCO	E	yes	08/2009	Aug 13, 2020	Mar 29, 2024
S••••••• E•••••• N••	CHIEF OPERATING OFFICER / PARTNER	A	no	08/2020	Aug 13, 2020	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$229M	$241M	-5.0%	$212M	2.6%	9	9	0	0

Relationships

Advises (5)

→ N••••••••• I••••••••• I••••• F•••• I•••Private fundOther Private Fund, IA
Aug 13, 2020 to presentfactForm ADV
→ N•• Y••• C••• A••••••••• F•••• L••Private fundOther Private Fund, IA
Aug 13, 2020 to presentfactForm ADV
→ T•• N•••••••• C••••••• F•••Private fundOther Private Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ N•• G••••••••• F•••• L••

Dated events

Order

Occurred
31 Mar 2026
Private fund first reported
••• Locked
Form ADV
$26.7M
Occurred
31 Mar 2026
Private fund no longer reported
••• Locked
Form ADV
$3.3M
Occurred
13 Aug 2020
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 13, 2020
Last observed: Mar 31, 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.