DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

E••• E••••• L••

CRD 319559

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Data as of Aug 24, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 14, 2022 to Aug 24, 2022
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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-123702
CRD: 319559

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• P••••••• C••••	CHIEF COMPLIANCE OFFICER	D	yes	02/2022	Mar 14, 2022	Aug 24, 2022
N•••••• A••••• D•••••••	President	D	yes	02/2022	Mar 14, 2022	Aug 24, 2022

Relationships

Controls (2)

← C•••••••• P••••••• C••••OwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 14, 2022 to presentfactForm ADV
← N•••••• A••••• D•••••••OwnerPRESIDENT, ownership code D, individual
Mar 14, 2022 to presentfactForm ADV

Dated events

Occurred
Mar 14, 2022
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 14, 2022
Last observed: Aug 24, 2022 49 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.