DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

S••••••• C•••••• M••••••••• I•••

CRD 112192

NEW YORK, NY

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Search this name across graphsid dfx:ria:f1ce477e-c830-f8c9-9f4d-86cda38988f6

Data as of Jul 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 8
On other graphs: 1
Observed: Mar 29, 2012 to Jul 15, 2026
28 observations

Across DFX

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

Private Creditidentity

S••••••• C•••••• M••••••••• I•••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.32 institutional_share=0.54 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $35B••• Locked
Discretionary RAUM: $35B
Private client RAUM: $74.8Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 146

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F••• P••••• M••••••••• M••••• F•••• I•••	Hedge Fund	$1.4B	Sep 26, 2024	25	Mar 29, 2012	reported	021-215352
P••••• H••• Y•••• B••• F•••• L•••	Other Private Fund	$1.1B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• A•••• S••••	VICE CHAIRMAN	Na	yes	09/2013	Sep 26, 2013	Sep 26, 2024
M•••••••• D•••••• J••••	CHIEF OPERATING OFFICER	Na	yes	03/2022	Sep 28, 2022	Sep 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••• C•• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
R••••• C•• V••••••• L••	n/a	n/a	n/a	N	yes	n/a
R••••• C••••• A••••••• L•	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	3	no
London	n/a	United Kingdom	2	no
BOCA RATON	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	$35B	$31B	13.9%	$25B	11.9%	146	142	3	3

Relationships

Affiliated with (1)

← R••••• C••••• A••••••• L•Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (26)

→ S•••••• M••• C•• L•••Private fundSecuritized Asset Fund, IA
Sep 26, 2014 to presentfactForm ADV
→ C••••• F••••••• R••• F•••• L•••Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV
→

Dated events

Occurred
Sep 26, 2024
Control person joined
David Jason Williams (Director) appeared on Schedule A of S••••••• C•••••• M••••••••• I•••
Form ADVobserved 7 days ago
Occurred
Sep 28, 2023
Control person joined
Penn Gloria Thomas (Director) appeared on Schedule A of S••••••• C•••••• M••••••••• I•••
Form ADVobserved 7 days ago
Occurred
Sep 28, 2023
Control person left
Robert Mark Mitchell (Director) no longer on Schedule A of S••••••• C•••••• M••••••••• I••• (listed 2022-10-03, absent 2023-09-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1ce477e-c830-f8c9-9f4d-86cda38988f6
First observed: Mar 29, 2012
Last observed: Jul 15, 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.