DFX Intelligence

B•••••• 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 under $100M

B•••••• A•••• M••••••••• L••

CRD 157047

NEW YORK, NY

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Search this name across graphsid dfx:ria:1210246c-ac62-eb96-f4c5-ab6a33dfb797

Data as of Nov 14, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 14
On other graphs: 0
Observed: Feb 24, 2012 to Nov 14, 2023
29 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: $67.1M••• Locked
Discretionary RAUM: $67.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C• F•••••••• C••••	Owner	E	yes	11/2019	May 27, 2021	Nov 14, 2023
C•••••• H••••••• I••	Owner	E	yes	02/2023	Aug 1, 2023	Nov 14, 2023
C•••••• P••••••• L••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• P•••••• W••••• L••	n/a	Independent wealth	$165B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$67.1M	$2.9B	-97.7%	$2.1B	-68.4%	18	18	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••	5	Dec 6, 2023	Feb 16, 2023	NEW YORK, NY	Firm absorbed	Other	100.0%

Relationships

Affiliated with (1)

→ C••••••Registered adviserother investment adviser, control, common control
factForm ADV

Owns (4)

← Y•••••••• J•••• G•••OwnerMANAGING DIRECTOR, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← B••••• C••••••••• A••OwnerMANAGING DIRECTOR, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← B•••• E••••• W••••OwnerEXECUTIVE PARTNER & MANAGING DIRECTOR, ownership code NA, individual

Dated events

Occurred
Dec 6, 2023
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
5 advisors
Occurred
Dec 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 6, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1210246c-ac62-eb96-f4c5-ab6a33dfb797
First observed: Feb 24, 2012
Last observed: Nov 14, 2023 34 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.