DFX Intelligence

D••• C•••••••••: 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 adviserstate registeredstate registeredRAUM under $100M

D••• C•••••••••

CRD 154339

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:0f3e08e1-f206-8c7b-7fd9-9b0b8a24b175

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2026 to Mar 30, 2026
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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $19.4M••• Locked
Discretionary RAUM: $19.4M
Private client RAUM: $18.4Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees: 1

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	1	0	0	1

Relationships

Registered with (1)

← D•••• A••••• H••••Advisorregistration: previous registration
Mar 11, 2011 to Aug 31, 2026factForm ADV

Dated events

Occurred
Aug 31, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f3e08e1-f206-8c7b-7fd9-9b0b8a24b175
First observed: Mar 30, 2026
Last observed: Mar 30, 2026 5 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.