DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C••••• F••••••••• I••••••••• A•••••••
Wealth manager with institutional or fund businessNew York, New YorkCRD 159296SEC 801-72852websiteIAPD
Legal name C••••• F••••••••• I••••••••• A•••••••• L•••
Latest filing Jul 15, 2026
First filing on the tape Nov 8, 2011 · 54 filings
SEC status approved since Nov 15, 2011
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$1.3B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
35
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$3.2B as of Jul 15, 2026
Mar 30, 2012$290M then
HNW client RAUM$1.1B as of Jul 15, 2026
Feb 23, 2018$578M then
State-registered IARs (5.B.3)35 as of Jul 15, 2026
Mar 30, 20120 then
Employees (5.A)35 as of Jul 15, 2026
Apr 1, 201314 then
Private funds2 as of Jul 15, 2026
Mar 30, 20121 then
RAUM +36% over the last fiscal year+12% a year over threeIARs 35 to 35
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- dual wealth and asset m•••••• · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 10.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $459M, 594 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.7B52%
- High-net-worth individuals$1.1B35%
- Individuals$188M5.8%
- Pooled investment vehicles$115M3.5%
- Corporations and businesses$47.2M1.5%
- Charitable organizations$46.0M1.4%
- Pension and profit-sharing plans$21.8M0.7%
- Individual clients
- 592reported
- HNW clients
- 625reported
- Pension plan clients
- 10reported
- Charitable clients
- 35reported
- Accounts
- 1,302reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $429M managedreported
- Custody of client assets
- $459M for 594 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.41 fund_share=0.55 institutional_share=0.02 related_bd=true related_bank=true bd_reps=24.0derived
Advisors registered through the firm
32 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• D••••• R••••••• | New York, Ny | Mar 10, 2017 | 11 y | 1 |
| G•••• A•••••Chartered Financial Analyst | New York, Ny | Mar 13, 2017 | 26 y | 5 |
| J••••• S•••• M••••••Chartered Financial Analyst | New York, Ny | Jul 2, 2021 | 43 y | 1 |
| N••••• D••••• D•••••Chartered Financial Analyst | New York, Ny | Jul 2, 2021 | 26 y | 1 |
| D•••• J•••••• M•••••••Chartered Financial Analyst | L••••Burg, Va | Jul 7, 2021 | 46 y | 1 |
| J••• T••••• B••••Chartered Financial Analyst | New York, Ny | Jul 8, 2021 | 41 y | 1 |
| P•••• B••••••• L•••• | New York, Ny | Jul 20, 2021 | 32 y | 0 |
| C••••••••• M••••• Z•••Chartered Financial Analyst | Dallas, Tx | Jul 29, 2021 | 28 y | 1 |
| W•••••• K•••••••Chartered Financial Analyst | Dallas, Tx | Aug 2, 2021 | 19 y | 1 |
| J••• D•••• B•••Chartered Financial Analyst | Dallas, Tx | Aug 4, 2021 | 29 y | 2 |
| E••••• O••••Chartered Financial Analyst | Dallas, Tx | Sep 21, 2021 | 18 y | 1 |
| C••••••••• D•••• Y••• | New York, Ny | Mar 16, 2022 | 26 y | 0 |
| J•••• T••• R••••••• | New York, Ny | May 13, 2022 | 11 y | 0 |
| J•••• F••••••• M•••••Certified Financial Planner | New York, Ny | Jun 16, 2022 | 18 y | 1 |
| R••••• B•••• | New York, Ny | Jun 26, 2022 | 19 y | 0 |
| W••••• D•••••• K••••Certified Financial Planner | Dallas, Tx | Jul 6, 2022 | 16 y | 0 |
| J••• M•••••• B••••••••• | New York, Ny | Nov 7, 2022 | 19 y | 0 |
| O••• B•••• | New York, Ny | Jan 3, 2023 | 13 y | 2 |
| T•••••• O••••• | New York, Ny | Feb 7, 2023 | 16 y | 1 |
| J•••••• S•••• K••••• | New York, Ny | May 20, 2023 | 32 y | 0 |
| T••••• H••••• S•••••• | New York, Ny | Jun 16, 2023 | 31 y | 2 |
| J••••• L•••• A••••••••• | New York, Ny | Jul 14, 2023 | 22 y | 0 |
| J•••• D••••• H•••• | New York, Ny | Jul 20, 2023 | 28 y | 2 |
| T•••••• A•••• C•••••• | New York, Ny | Nov 30, 2023 | 17 y | 4 |
| T••••• L•••• H•••••• | New York, Ny | Jan 9, 2024 | 12 y | 3 |
| A••••• T••••• S•••••• | New York, Ny | Mar 3, 2025 | 13 y | 4 |
| E•••• K•••••• | New York, Ny | Jul 23, 2025 | 12 y | 1 |
| T••• F••••••• | New York, Ny | Dec 1, 2025 | 22 y | 1 |
| S•••••• M••••• | La Jolla, Ca | Mar 6, 2026 | 10 y | 2 |
| G•••••• W••••• F••••••• | New York, Ny | Apr 6, 2026 | 24 y | 6 |
| N••• D•••• M•••••• | New York, Ny | May 15, 2026 | 16 y | 1 |
| D••••• M••••• | New York, Ny | Jun 17, 2026 | 22 y | 0 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.1% of current headcount6 left over 36 months
Left, latest
- L••••••• D••••• G•••••• to W•••• F•••• A•••••••Dec 17, 2025 · RIA to wirehouse
- A•••••••• C• S••••• to I••••••••• W••••• C••••••• L••Nov 27, 2024 · RIA to RIA
- B••••••• H••• to S••• W••••• L••Apr 16, 2024 · RIA to affiliated broker-dealer or bank
- A•••• S•••••• to C••• L••Apr 5, 2024 · RIA to affiliated broker-dealer or bank
- J••• D••••• G•••• to D•••••••• A••••••• S•••••••• L••Feb 5, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• M••••••• to C••••• A••••••• L••Jan 22, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• C•••••• S•••••• to S•••••••• W•••••• L••May 15, 2023 · RIA to RIA
- O••• B•••• to S•••• G•••• A•••• M••••••••• L••Jan 3, 2023 · Other
- P•••• J• H••• to L••••• A•••• M••••••••• L••Sep 16, 2022 · Other
- D•••• P••• B••••• to B•••••••• I••••••••• M••••••••• L••May 9, 2022 · Other
- R••••• C•••••••• O•••••• to C••••••• P•••••••Apr 11, 2022 · RIA to RIA
- F•••• V•••••• to F•••• T•••• A••••••• L•Nov 3, 2021 · Other
- A••••• C•••••• F••••••••• to L••••• R••• F••••••••Jun 2, 2021 · Other
- D•••••• M• Z•••• to Q••••• W•••• A•••••••• L••Nov 12, 2020 · RIA to RIA
- S••• M• M•••• to P••••••• C•••••• A••••••• C•••••••••May 1, 2019 · Other
Joined, latest
- N••• D•••• M•••••• from E•••••••• A•••••••• L••May 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••••• W••••• F••••••• from M••••• S••••••Apr 6, 2026 · Wirehouse to independent RIA
- T••• F••••••• from M••••• S••••••Dec 1, 2025 · Wirehouse to independent RIA
- E•••• K•••••• from N•••••• A•••••••Jul 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- A••••• T••••• S•••••• from U•• F•••••••• S••••••• I•••Mar 3, 2025 · Wirehouse to independent RIA
- T••••• L•••• H•••••• from L•••• A••••• • C•• L••Jan 9, 2024 · Other
- T•••••• A•••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 30, 2023 · Wirehouse to independent RIA
- J•••• D••••• H•••• from J••• H•••••• I••••••••• M••••••••• L••Jul 20, 2023 · Other
- T••••• H••••• S•••••• from C••••••••• I••••••••• L••Jun 16, 2023 · RIA to RIA
- L••••••• D••••• G•••••• from B•••••••• I••••••••• M••••••••• L••Apr 13, 2023 · Other
- B••••••• H••• from F•••••• F•••••••• A•••••••• L••Mar 13, 2023 · Affiliated broker-dealer or bank to independent RIA
- T•••••• O••••• from S•••• G•••• A•••• M•••••••••Feb 7, 2023 · Other
- A•••••••• C• S••••• from V••••• I••••••••• A•••••••• L••Dec 6, 2022 · Other
- M•••••• C•••••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 25, 2022 · Wirehouse to independent RIA
- J•••• F••••••• M••••• from O•••• F•• I•••Jun 16, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••••• C•••••• A••••••• C•••••••••May 1, 2019 · New York, Ny
- 4 joined from F•••••• B•••• • P••••• I••Jul 7, 2021 · L••••Burg, Va · Firm absorbed
- 4 joined from E•••••••• M••••• A•••••••• L••Mar 24, 2017 · La Jolla, Ca · Firm absorbed
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• D••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $77.1M | 323 | Mar 30, 2012 |
| C••••• R••••• F••• I• L•••no longer reported | Hedge Fund | $23.0M | 30 | Mar 30, 2016 |
| C••••• H••• R••• E••••• O••••••••• P••••••• L• | $13.6M | 2 | Jul 15, 2026 | |
| C••••• R••••• F••• I••• L••• | Other Private Fund | $12.6M | 10 | Feb 23, 2018 |
| C••••• A••••••••• S••••••••• T••••no longer reported | Hedge Fund | $3.9M | 7 | Mar 30, 2012 |
| C•••• D••••••••• F••• I• ••••• L•••no longer reported | Hedge Fund | $2.2M | 99 | Mar 30, 2012 |
| B••• S••••••• P•••••••• L••••no longer reported | Hedge Fund | $776,786 | 12 | Apr 1, 2013 |
| C••••• R••••• F••• I•• L•••no longer reported | Other Private Fund | $0 | 1 | Jun 8, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• M••• · General Counsel And Secretarycontrolsince 08/2025 · owns less than 5%
- F••••• W••••••• J••••• · Global Head Of Asset Managementcontrolsince 06/2022 · owns less than 5%
- K•••••• M•••• E••••• · Chief Executive Officercontrolsince 01/2019 · owns less than 5%
- K••••• W•••••• D•••••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- M•••••• S••••••• M••••• · General Counsel And Secretarycontrolsince 02/2010 · owns less than 5%
- M••••••• M••••••• G••••• · Executive Vice Presidentcontrolsince 07/2022 · owns less than 5%
- P••••••• K••••••• M•••••• · Chief Financial Officercontrolsince 01/2020 · owns less than 5%
- S••••••• D••••• H• · Chief Financial Officercontrolsince 04/2025 · owns less than 5%
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 05/2009 · owns 75% or more of H••••• W• L•••••• P••••••• A•••• T••••
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 01/2010 · owns 75% or more of H••••• W• L•••••• R•••••••• T••••
- A•••••• G•••• · Portfolio M••••••since 08/2017 · owns less than 5%
- B•••• J•••• D•••• · Co-Chief Investment Officersince 08/2025 · owns less than 5%
- B••••• J•••• T••••• · Portfolio M•••••• And Sr Managing Directorsince 06/2021 · owns less than 5%
- M•••••• C••••••••• A••• · Co-Chief Investment Officersince 08/2025 · owns less than 5%
- M•••••• H••••••• W•••••• · Sr Managing Directorsince 02/2017 · owns less than 5%
Entity owners
- C••••• F••••••••• I••••••••• · Managing Partnerdirect · owns less than 5%
- C••••• F••••••••• I••••••••• A••••••• H•••••••• L•• · Managing Partnerdirect · owns 75% or more
- C••• H•••••••• L•• · Memberdirect · owns 75% or more
- C••••• F••••••••• L••• · Memberindirect · owns 75% or more of C••••• F••••••••• I••••••••• A••••••• H•••••••• L••
- C• G•••• M••••••••• I••• · Managing General Partnerindirect · owns F of C••••• F••••••••• L•••
- H••••• W• L•••••• P••••••• A•••• T•••• · Limited Partnerindirect · owns 25% to 50% of C••••• F••••••••• L•••
- H••••• W• L•••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of C• G•••• M••••••••• I•••
Related persons
Schedule D 7.A
- C••••• F••••••••• • C••broker-dealertrust companyn
- F••••• P••••••• L••investment advisernRAUM $10.7M
- R••••••••• R••••••• P••••••• M••••••• L••investment advisern
- S•••• G•••• A•••• M••••••••• L••investment advisery
Advisers that list C••••• F••••••••• I••••••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 32 | 10 | 1 | ||
| L••••Burg, Va | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- La Jolla, CA5 employees
- L••••Burg, VA5 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 15, 2026P••••••• K••••••• M•••••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2022-07-28 and 2026-07-15peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 15, 2026M•••••• S••••••• M••••• (GENERAL COUNSEL AND SECRETARY) left Schedule A between the filings of 2022-07-28 and 2026-07-15peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 15, 2026M••••••• M••••••• G••••• (EXECUTIVE VICE PRESIDENT) left Schedule A between the filings of 2022-07-28 and 2026-07-15peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 15, 2026B•••••• A•••• M••• (GENERAL COUNSEL AND SECRETARY) appeared on Schedule A between the filings of 2022-07-28 and 2026-07-15peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 15, 2026K•••••• M•••• E••••• (CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2022-07-28 and 2026-07-15peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 15, 2026S••••••• D••••• H• (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2022-07-28 and 2026-07-15peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 15, 2026L••••••• H•••••• W•••••• (SOLE TRUSTEE) left Schedule A between the filings of 2022-07-28 and 2026-07-15peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.4B to $3.2BOct 21, 2025 to Mar 24, 2026
- HNW RAUM · $1.0B to $1.1BOct 21, 2025 to Mar 24, 2026
- Individual RAUM · $192M to $188MOct 21, 2025 to Mar 24, 2026
- Pension RAUM · $22.6M to $21.8MOct 21, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $31.2M to $115MOct 21, 2025 to Mar 24, 2026
- RAUM · $2.4B to $3.2BOct 21, 2025 to Mar 24, 2026
- Wrap assets (manager) · $398M to $429MOct 21, 2025 to Mar 24, 2026
- Accounts · 1,286 to 1,302Oct 21, 2025 to Mar 24, 2026
- BD registered reps · 27 to 24Oct 21, 2025 to Mar 24, 2026
- Charity clients · 32 to 35Oct 21, 2025 to Mar 24, 2026
- Corporate clients · 23 to 24Oct 21, 2025 to Mar 24, 2026
- HNW clients · 577 to 625Oct 21, 2025 to Mar 24, 2026
- Individual clients · 637 to 592Oct 21, 2025 to Mar 24, 2026
- Pension plan clients · 9 to 10Oct 21, 2025 to Mar 24, 2026
- Pooled vehicle clients · 2 to 3Oct 21, 2025 to Mar 24, 2026
- Assets in custody · $413M to $459MOct 21, 2025 to Mar 24, 2026
- Financial planning clients · More than 500 to More than 500Mar 14, 2025 to May 8, 2025
- Accounts · 1,366 to 1,286Jan 9, 2025 to Mar 14, 2025
- Charity clients · 33 to 32Jan 9, 2025 to Mar 14, 2025
- HNW clients · 572 to 577Jan 9, 2025 to Mar 14, 2025
- Individual clients · 714 to 637Jan 9, 2025 to Mar 14, 2025
- Pension plan clients · 17 to 9Jan 9, 2025 to Mar 14, 2025
- Pooled vehicle clients · 1 to 2Jan 9, 2025 to Mar 14, 2025
- Assets in custody · $412M to $413MJan 9, 2025 to Mar 14, 2025
- Private funds · 1 to 2Jan 9, 2025 to Mar 14, 2025
- Discretionary RAUM · $1.8B to $2.4BJan 9, 2025 to Mar 14, 2025
- HNW RAUM · $859M to $1.0BJan 9, 2025 to Mar 14, 2025
- Individual RAUM · $190M to $192MJan 9, 2025 to Mar 14, 2025
- Pension RAUM · $23.9M to $22.6MJan 9, 2025 to Mar 14, 2025
- Pooled vehicle RAUM · $19.6M to $31.2MJan 9, 2025 to Mar 14, 2025
- RAUM · $1.8B to $2.4BJan 9, 2025 to Mar 14, 2025
- Wrap assets (manager) · $401M to $398MJan 9, 2025 to Mar 14, 2025
- Accounts · 1,364 to 1,366May 9, 2024 to Jan 9, 2025
- Discretionary RAUM · $1.6B to $1.8BMay 9, 2024 to Jan 9, 2025
- RAUM · $1.6B to $1.8BMay 9, 2024 to Jan 9, 2025
- Accounts · 1,961 to 1,364Jan 17, 2024 to Mar 19, 2024
- Advisory employees · 8 to 7Jan 17, 2024 to Mar 19, 2024
- BD registered reps · 17 to 27Jan 17, 2024 to Mar 19, 2024
- Charity clients · 31 to 33Jan 17, 2024 to Mar 19, 2024
- Corporate clients · 32 to 23Jan 17, 2024 to Mar 19, 2024
Signals
24 dated events
- C••••• F••••••••• I••••••••• A••••••• reported RAUM $3.2B, up 36% from $2.4B (2025-10-21 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- L••••••• D••••• G•••••• left C••••• F••••••••• I••••••••• A••••••• for W•••• F•••• A••••••• (registered 2026-01-08)Dec 17, 2025 · Advisor changed firm · fact
- C••••• F••••••••• I••••••••• A••••••• reported RAUM $2.4B, up 34% from $1.8B (2025-01-09 to 2025-03-14)Mar 14, 2025 · RAUM change · derived
- B••••••• H••• left C••••• F••••••••• I••••••••• A••••••• for S••• W••••• L•• (registered 2024-05-07)Apr 16, 2024 · Advisor changed firm · fact
- A•••• S•••••• left C••••• F••••••••• I••••••••• A••••••• for C••• L•• (registered 2024-04-02)Apr 5, 2024 · Advisor changed firm · fact
- C••••• F••••••••• I••••••••• A••••••• reported 35 state-registered advisory representatives, up from 23 (2024-01-17 to 2024-03-19)Mar 19, 2024 · Advisor headcount change · derived
- C••••• F••••••••• I••••••••• A••••••• reported RAUM $1.6B, down 30% from $2.3B (2024-01-17 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- J••• D••••• G•••• left C••••• F••••••••• I••••••••• A••••••• for D•••••••• A••••••• S•••••••• L•• (registered 2024-01-03)Feb 5, 2024 · Advisor changed firm · fact
- M•••••• M••••••• left C••••• F••••••••• I••••••••• A••••••• for C••••• A••••••• L•• (registered 2024-02-08)Jan 22, 2024 · Advisor changed firm · fact
- M•••••• C•••••• S•••••• left C••••• F••••••••• I••••••••• A••••••• for S•••••••• W•••••• L•• (registered 2023-06-13)May 15, 2023 · Advisor changed firm · fact
- C••••• F••••••••• I••••••••• A••••••• reported RAUM $2.3B, down 42% from $4.0B (2022-11-04 to 2023-02-27)Feb 27, 2023 · RAUM change · derived
- O••• B•••• left C••••• F••••••••• I••••••••• A••••••• for S•••• G•••• A•••• M••••••••• L•• (registered 2023-01-03)Jan 3, 2023 · Advisor changed firm · fact
- P•••• J• H••• left C••••• F••••••••• I••••••••• A••••••• for L••••• A•••• M••••••••• L•• (registered 2022-09-29)Sep 16, 2022 · Advisor changed firm · fact
- J••••• W•••••• F•••• (Global Head Of Asset Management) appeared on Schedule A of C••••• F••••••••• I••••••••• A•••••••Jul 28, 2022 · Control person joined · fact
- D•••• P••• B••••• left C••••• F••••••••• I••••••••• A••••••• for B•••••••• I••••••••• M••••••••• L•• (registered 2025-12-02)May 9, 2022 · Advisor changed firm · fact
- R••••• C•••••••• O•••••• left C••••• F••••••••• I••••••••• A••••••• for C••••••• P••••••• (registered 2022-04-19)Apr 11, 2022 · Advisor changed firm · fact
- C••••• F••••••••• I••••••••• A••••••• reported RAUM $3.5B, up 28% from $2.7B (2021-05-10 to 2021-06-08)Jun 8, 2021 · RAUM change · derived
- Elliot Mark Kaplan (Chief Executive Officer) appeared on Schedule A of C••••• F••••••••• I••••••••• A•••••••May 10, 2021 · Control person joined · fact
- J••••• Thomas Anzalone (Chief Operations Officer) no longer on Schedule A of C••••• F••••••••• I••••••••• A••••••• (listed 2021-03-12, absent 2021-05-10)May 10, 2021 · Control person left · inference
- Michael Kenneth P•••son (Chief Financial Officer) appeared on Schedule A of C••••• F••••••••• I••••••••• A•••••••Jan 23, 2020 · Control person joined · fact
- Steven Bisgay (Chief Financial Officer) no longer on Schedule A of C••••• F••••••••• I••••••••• A••••••• (listed 2019-11-13, absent 2020-01-23)Jan 23, 2020 · Control person left · inference
- C••••• F••••••••• I••••••••• A••••••• reported RAUM $3.0B, down 30% from $4.4B (2019-01-18 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C••••• F••••••••• I••••••••• A••••••• reported RAUM $4.4B, up 40% from $3.1B (2017-08-16 to 2018-02-23)Feb 23, 2018 · RAUM change · derived
- C••••• F••••••••• I••••••••• A••••••• reported 12 state-registered advisory representatives, up from 0 (2017-08-16 to 2018-02-23)Feb 23, 2018 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- b••••••• phone
- 855-922-6867reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- cantorassetmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 915-1722reportedpublic record, Form ADV, Jul 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026