DFX Intelligence

W••••••••• D• A••••••••• 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

W••••••••• D• A••••••••• L••

CRD 169075

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:0d568824-15f9-7a48-3698-3e56788645d0

Data as of May 15, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Sep 24, 2013 to May 15, 2014
3 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
SEC number: 801-78630
CRD: 169075
Filings on the tape: 3
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• R•••••• D••	Cco	E	yes	08/2013	Sep 24, 2013	May 15, 2014

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	May 15, 2014	n/a	n/a	1	1	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
2013	n/a	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Controls (1)

← L•••••• R•••••• D••OwnerCCO, ownership code E, individual
Sep 24, 2013 to presentfactForm ADV

Dated events

Occurred
Sep 24, 2013
First Form ADV filing
W••••••••• D• A••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0d568824-15f9-7a48-3698-3e56788645d0
First observed: Sep 24, 2013
Last observed: May 15, 2014 150 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.