DFX Intelligence

S••••• F•••••••• R•••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S••••• F•••••••• R•••••••• I••

CRD 104990

PARSIPPANY, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:efd76338-ade1-86dd-95b8-133149b148a8

Data as of Jul 23, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 115
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to Jul 23, 2018
25 observations

Across DFX

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

Private Equityidentity

S••••• F•••••••• R•••••••• I••

Intermediary · 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 222
Advisory employees: 76
Offices: 14Schedule D 1.F, beyond the principal office
SEC number: 801-18223
CRD: 104990

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• M••••••• W••••••	Director	A	yes	07/1997	Feb 14, 2012	Jul 23, 2018
G•••••• S••••••	PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR	Na	yes	10/2016	Nov 23, 2016	Jul 23, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• E•••••••• I•••	n/a	Former SEC adviser	n/a	N	yes	n/a
S••••• R••• M••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WHITE PLAINS	NY	United States	4	yes
RED BANK	Nj	United States	3	yes
Hoboken	Nj	United States	2	yes
Kingston	Nj	United States	2	yes
Fairfield	Ct	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 2018	n/a	n/a	222	76	14	n/a	n/a
2016	Mar 31, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	n/a	n/a	n/a	n/a	n/a	222	250	14	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• F••••• W••••• C••••••••• I••	4	Sep 20, 2018	Oct 28, 2004	PARSIPPANY, NJ	Team lift out	Other	6.3%
S••••• E••••••• I••	16	Sep 20, 2018	Dec 1, 2017

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• E••••••• I••	2	Feb 9, 2018	Apr 3, 2006	PARSIPPANY, NJ	Team lift out	Other	3.0%

Relationships

showing 80 of 115

Affiliated with (3)

→ S••••• E••••••• I••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← S••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••••• F••••• W••••• C••••••••• I••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efd76338-ade1-86dd-95b8-133149b148a8
First observed: Feb 14, 2012
Last observed: Jul 23, 2018 99 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.