DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G••••••• P•••••• W••••• L••

CRD 313943

NEW YORK, NY

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Search this name across graphsid dfx:ria:11b7bc9f-ac73-c704-7ffa-abb80390bde6

Data as of Jun 9, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Apr 20, 2021 to Jun 9, 2021
6 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: 1
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• K••••• W••••••	MANAGING MEMBER AND PORTFOLIO MANAGER / CHIEF COMPLIANCE OFFICER	E	yes	03/2021	Apr 20, 2021	Jun 9, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• J•••• G•••••• P•••••• L••	n/a	n/a	n/a	N	yes	n/a

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	0	0	0.0%	0	0	0	0	0

Relationships

Registered with (1)

← K•••• W•••••• F••••Advisorregistration: previous registration
May 30, 2021 to Nov 3, 2021factForm ADV

Controls (1)

← F••••• K••••• W••••••OwnerMANAGING MEMBER AND PORTFOLIO MANAGER / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 20, 2021 to presentfactForm ADV

Dated events

Occurred
Jun 9, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 20, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11b7bc9f-ac73-c704-7ffa-abb80390bde6
First observed: Apr 20, 2021
Last observed: Jun 9, 2021 64 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.