DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

C•••• P•••• A••••••• L••

CRD 315686

NEW YORK, NY

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Search this name across graphsid dfx:ria:f03be011-b7cb-8c67-6456-35821ff735de

Data as of Mar 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 4
On other graphs: 0
Observed: Jul 6, 2021 to Mar 27, 2023
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $345M••• Locked
Discretionary RAUM: $345M
Private client RAUM: $345Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• I•••	INDIRECT OWNER	E	yes	09/2015	Jul 6, 2021	Mar 27, 2023
C•••• P• H••••••• L••	Parent	E	yes	09/2015	Jul 6, 2021	Mar 27, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••••• R•••••• M••••••••• L••	n/a	ASSET_M••••••	$3.8B	N	yes	n/a
C•••• I••••••••• M••••••••• L••	n/a	Former SEC adviser	$2.1B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
GARDEN CITY	NY	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 27, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$345M	$366M	-5.6%	n/a	n/a	4	4	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••••• B•••••••• C•••••• M•••••••••	2	Aug 10, 2023	Jul 18, 2023	NEW YORK, NY	Team lift out	Other	100.0%

Relationships

Affiliated with (9)

← R••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← C•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← C•• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ R••••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control

Dated events

Occurred
Aug 10, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Aug 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 8, 2021
Succession filed (Item 4)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f03be011-b7cb-8c67-6456-35821ff735de
First observed: Jul 6, 2021
Last observed: Mar 27, 2023 42 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.