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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F••••••••• R••••••••• P••• C••••••••• L••

CRD 170416

WHITE PLAINS, NY

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Search this name across graphsid dfx:ria:01cfdcf6-9eac-1db3-423b-1ea79c6fc082

Data as of Feb 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 1
Observed: Jan 31, 2014 to Feb 27, 2019
20 observations

Across DFX

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

Allocatorsidentity

F••••••••• R••••••••• P••• C••••••••• L••

Investment consultant · 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
Regulatory AUM: $84.8MItem 5.F on the latest filing (2019-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• J•••••••• E•••	MANAGING MEMBER	E	yes	10/2015	Apr 20, 2016	Feb 27, 2019
B••••••••• J•••••••• E•••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2018	Apr 20, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••••••• A••••••• L••	n/a	Former SEC adviser	$216M	Y	yes	n/a
B••••••• G••••	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
RED BANK	Nj	United States	1	yes
NEW YORK	NY	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$84.8M	$90.8M	-6.6%	n/a	n/a	6	7	2	2

Relationships

Affiliated with (2)

→ R••••••••• A••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← R••••••••• A••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← B••••••••• J•••••••• E•••OwnerMANAGING MEMBER, ownership code E, individual
Apr 20, 2016 to presentfactForm ADV
← R••••••••• A••••••• L••Owner

Dated events

Occurred
Apr 20, 2016
First Form ADV filing
F••••••••• R••••••••• P••• C••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01cfdcf6-9eac-1db3-423b-1ea79c6fc082
First observed: Jan 31, 2014
Last observed: Feb 27, 2019 92 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.