DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C•• M••••••• P•••••••• L••

CRD 158123

MIAMI, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:040edd91-08cb-737c-a30c-96d7ad716924

Data as of May 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2011 to May 15, 2012
5 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
Accounts: 0
SEC number: 801-72549
CRD: 158123

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• S•••••••• A••••• B•••	PRINCIPAL AND CHIEF COMPLIANCE OFFICER	Na	yes	06/2011	Dec 16, 2011	May 15, 2012
T•••••• R••••• S•••••	Member	E	yes	06/2011	Dec 16, 2011	May 15, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• M••••••• C••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jan 25, 2012	$0	$0	n/a	n/a	n/a	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
2011	$0	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← T•••••• R••••• S•••••OwnerMEMBER, ownership code E, individual
Dec 16, 2011 to presentfactForm ADV
← M••••• S•••••••• A••••• B•••OwnerPRINCIPAL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV

Registered with (2)

← M••••• N•• S•••••Advisorregistration: previous registration
Jan 17, 2013 to Apr 24, 2017factForm ADV
← S••••••• A• M••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:040edd91-08cb-737c-a30c-96d7ad716924
First observed: Dec 16, 2011
Last observed: May 15, 2012 174 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.