DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

U•• J•••••• M••••••••• L•••••

CRD 109370

NEW YORK, NY

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Search this name across graphsid dfx:ria:0f1f2d36-81a4-409a-d880-dc63f4945658

Data as of Mar 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 29, 2012
1 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: $25.4M••• Locked
Discretionary RAUM: $25.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• W••••••• J•••••	GLOBAL HEAD OF A&Q	Na	yes	10/2010	Mar 29, 2012	Mar 29, 2012
H••••• J••••• M••••••	GENERAL COUNSEL	Na	yes	10/2010	Mar 29, 2012	Mar 29, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•• F•••••••• S••••••• I•••	n/a	Wirehouse	$916B	N	no	n/a
U•• G••••• A•••• M••••••••• ••••••••• I•••	n/a	Mixed wealth	$588B	N	no	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
2011	Mar 29, 2012	$25.4M	$25.4M	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	$25.4M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (10)

← U•• E••••••••• M••••••••• L•••••Registered adviserother investment adviser, control, common control
factForm ADV
← U•• W••••• M••••••••• L•••••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ U•• A•••• M••••••••• ••••••••• L••Registered adviserother investment adviser, bank
factForm ADV
→ U•• O•••••• L••Registered adviserother investment adviser, bank, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f1f2d36-81a4-409a-d880-dc63f4945658
First observed: Mar 29, 2012
Last observed: Mar 29, 2012 176 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.