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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

G••••• C••••••• I••••••••• M••••••••• L••

CRD 145923

WILMINGTON, DE

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Search this name across graphsid dfx:ria:07d36486-c011-1d9e-dc68-9d1c5157c640

Data as of Dec 5, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Dec 15, 2011 to Dec 5, 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: $2.3B••• Locked
Discretionary RAUM: $2.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• H••••• D••••	CO-CHIEF INVESTMENT OFFICER	Na	yes	10/2012	Dec 15, 2011	Dec 5, 2012
D•••••••• R•••••• R••••••	Director	Na	yes	03/2011	Dec 15, 2011	Dec 5, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• I••••••••• L••	n/a	Mixed wealth	$185B	N	yes	n/a
L••• M•••• P•••••• P•••••••• G••••• L••	n/a	Independent wealth	$140B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Jun 28, 2012	$2.3B	$2.3B	n/a	n/a	n/a	2	$103M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$2.3B	n/a	n/a	n/a	n/a	17	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ 1919 INVESTMENT C••••••, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ C••••••••• I••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ FRANKLIN TEMPLETON P•••••• P•••••••• GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ QS L••• M•••• G••••• A•••• A••••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07d36486-c011-1d9e-dc68-9d1c5157c640
First observed: Dec 15, 2011
Last observed: Dec 5, 2012 167 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.