DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

M•••••••• I••••••••• I••••••••• M••••••• L••

CRD 333069

NEW YORK, NY

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Search this name across graphs

Data as of Oct 22, 2024 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 4, 2024 to Oct 22, 2024
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: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-131420
CRD: 333069

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•••••	CHIEF INVESTMENT OFFICER	Na	yes	08/2024	Oct 4, 2024	Oct 22, 2024
D••••••• P••••••• S•••••••	CHIEF COMPLIANCE OFFICER	Na	yes	08/2024	Oct 4, 2024	Oct 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••••• I••••••••• M••••••• P•••••• L••••••	n/a	Independent wealth	$315M	Y	yes	n/a
M•••••••• C•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ M•••••••• I••••••••• M••••••• P•••••• L••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← M•••••••• I••••••••• M••••••• P•••••• L••••••OwnerOWNER, ownership code E, foreign entity
Oct 4, 2024 to presentfactForm ADV
← B•••••• A•••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Oct 4, 2024 to presentfactForm ADV
← M••••••••• S••••••• P•••••••Owner

Dated events

Order

Occurred
6 Mar 2025
Left the SEC roster
••• Locked
Form ADV
Occurred
4 Oct 2024
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 4, 2024
Last observed: Oct 22, 2024 23 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.