DFX Intelligence

G••••••• W••••• U• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G••••••• W••••• U• I•••

CRD 321602

CALG•••, A•••••A

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Search this name across graphsid dfx:ria:02319ba0-1ad9-b9c0-1fa1-a14a6c799a18

Data as of Aug 9, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 12
On other graphs: 0
Observed: Dec 22, 2022 to Aug 9, 2024
9 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• A••••• R••••	Trustee	F	yes	10/2013	Aug 9, 2024	Aug 9, 2024
D••••••••• P•••• G••	Trustee	F	yes	10/2013	Aug 9, 2024	Aug 9, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• H••••••• M•••••• L•	n/a	ASSET_M••••••	$8.6B	N	yes	n/a
S••••• H••••••• M•••••• ••• L••	n/a	ASSET_M••••••	$1.4B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Jan 16, 2024	$0	$0	2	1	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$0	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Affiliated with (4)

← S••••• H••••••• M•••••• ••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••••• H••••••• M•••••• L•Registered adviserother investment adviser, common control
factForm ADV
→ S••••• H••••••• M•••••• L•Registered adviserother investment adviser, common control
factForm ADV
→ S••••• H••••••• M•••••• ••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Aug 9, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 9, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 9, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 9, 2024
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02319ba0-1ad9-b9c0-1fa1-a14a6c799a18
First observed: Dec 22, 2022
Last observed: Aug 9, 2024 25 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.

Controls (16)

← D••••••••• P•••• G••OwnerTRUSTEE, ownership code F, individual
Aug 9, 2024 to presentfactForm ADV
← F••••••• G••••••• J••••OwnerTRUSTEE, ownership code F, individual
Aug 9, 2024 to presentfactForm ADV
← D••••••••• A••••• R••••OwnerTRUSTEE, ownership code F, individual
Aug 9, 2024 to presentfactForm ADV
← D•••• G•••• A•••••OwnerTRUSTEE, ownership code F, individual
Aug 9, 2024 to presentfactForm ADV
← J•••••• A••••••• H•••••OwnerPRESIDENT, ownership code NA, individual
Mar 6, 2024 to presentfactForm ADV
← H•••••• S••••••• N••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 6, 2024 to presentfactForm ADV
← H•••••• M••••••• A•••• E•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 6, 2024 to presentfactForm ADV
← G••••••• W••••• H••••••• I•••OwnerHOLDING COMPANY, ownership code E, foreign entity
Dec 22, 2022 to presentfactForm ADV
← P•••••• H•••••• I•••OwnerSHAREHOLDER, ownership code D, foreign entity
Aug 9, 2024 to presentfactForm ADV
← P•••• C••••••••• O• C•••••OwnerSHAREHOLDER, ownership code E, foreign entity
Aug 9, 2024 to presentfactForm ADV
← S••••• H••••••• I•••OwnerSHAREHOLDER, ownership code D, foreign entity
Aug 9, 2024 to presentfactForm ADV
← S••••• H••••••• M••••••••• I•••OwnerSHAREHOLDER, ownership code E, foreign entity
Aug 9, 2024 to presentfactForm ADV
← S••••• H••••••• M•••••• G• I•••OwnerGENERAL PARTNER, ownership code E, foreign entity
Aug 9, 2024 to presentfactForm ADV
← S••••• H••••••• P••••••••• I•••OwnerSHAREHOLDER, ownership code E, foreign entity
Aug 9, 2024 to presentfactForm ADV
← S••••• H••••••• W••••• L•OwnerSHAREHOLDER, ownership code D, foreign entity
Aug 9, 2024 to presentfactForm ADV
← T•• D•••••••• F••••• R•••••••• T••••OwnerSHAREHOLDER, ownership code E, foreign entity
Aug 9, 2024 to presentfactForm ADV