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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$1.1BItem 5.F on the latest filing (2011-12-23); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$938M

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

Accounts

4,600

SEC number

801-62183

CRD

127498

Filings on the tape

2

First filed

Dec 21, 2011

Latest filed

Dec 23, 2011

Organised

Limited Liability Company, Delaware

Graph

RIA / Wealth Management

Canonical id

dfx:ria:02d033c4-d847-93c9-9e44-18e366afa0f9

First observed

Dec 21, 2011

Last observed

Dec 23, 2011 179 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.