DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

B••••••• A•••• M••••••••• L••

CRD 301153

LONG BRANCH, NJ

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Search this name across graphsid dfx:ria:0062d4d2-f28a-b6ec-a5c3-d0a06c2d602f

Data as of Mar 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2019 to Mar 22, 2019
2 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• K••••• A•••••••	MEMBER, HEAD OF BUSINESS DEVELOPMENT	B	yes	03/2019	Mar 21, 2019	Mar 22, 2019
L••••• C••••••••• E•••••••••	CHIEF COMPLIANCE OFFICER	A	yes	03/2019	Mar 21, 2019	Mar 22, 2019

Relationships

Controls (5)

← G•••••• K••••• A•••••••OwnerMEMBER, HEAD OF BUSINESS DEVELOPMENT, ownership code B, individual
Mar 21, 2019 to presentfactForm ADV
← L••••• C••••••••• N•••OwnerCIO, PORTFOLIO MANAGER, ownership code C, individual
Mar 21, 2019 to presentfactForm ADV
← W•••• A•••• W••• K••••OwnerDIRECTOR OF RESEARCH, ownership code A, individual
Mar 21, 2019 to presentfactForm ADV
← L••••• C••••••••• E•••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 21, 2019 to present

Dated events

Occurred
Mar 21, 2019
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0062d4d2-f28a-b6ec-a5c3-d0a06c2d602f
First observed: Mar 21, 2019
Last observed: Mar 22, 2019 91 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.