DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

C••••••• A••••••••• L••

CRD 150658

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Search this name across graphsid dfx:ria:02c549c5-102b-176e-3a9d-241c837036d5

Data as of Feb 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Feb 14, 2017
6 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: $569M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• S••••• ••••	CHIEF COMPLIANCE OFFICER	C	yes	06/2009	Mar 28, 2012	Feb 14, 2017
T•••••• C•••• E•••	TITLE MEMBER	E	yes	11/2008	Mar 28, 2012	Feb 14, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Feb 14, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$569M	$496M	14.6%	$341M	18.6%	6	6	n/a	n/a

Relationships

Controls (2)

← T•••••• C•••• E•••OwnerTITLE MEMBER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← L•••• S••••• ••••OwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (1)

← C••• E••• T•••••Advisorregistration: previous registration
Aug 12, 2009 to Aug 25, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02c549c5-102b-176e-3a9d-241c837036d5
First observed: Mar 28, 2012
Last observed: Feb 14, 2017 116 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.