DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

A••••••••• A•••• M••••••••• L•••

CRD 298649

CENTRAL

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Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 20, 2018 to Mar 30, 2020
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
Regulatory AUM: $1.9B••• Locked
Discretionary RAUM: $1.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• C•••• S• L•	CHIEF COMPLIANCE OFFICER	Na	yes	11/2018	Nov 20, 2018	Mar 30, 2020
A••••••••• H••••••• L••••••	Shareholder	E	yes	11/2018	Nov 20, 2018	Mar 30, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020	$1.9B	$1.9B	4	3	0	n/a	n/a
2018	Mar 28, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$1.9B	n/a	n/a	n/a	n/a	4	3	0	0

Relationships

Controls (4)

← L••• J••OwnerTRUSTEE, ownership code F, individual
Nov 20, 2018 to presentfactForm ADV
← A••• C•••• S• L•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 20, 2018 to presentfactForm ADV
← A••••••••• H••••••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 20, 2018 to presentfactForm ADV
← A• H••••••• I••••••••• T••••OwnerTRUST, ownership code E, foreign entity
Nov 20, 2018 to presentfact

Dated events

Order

Occurred
30 Mar 2020
Control person left
••• Locked
Form ADV
Occurred
20 Nov 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 20, 2018
Last observed: Mar 30, 2020 78 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.