DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

H•••••• A•••• G••••• L••

CRD 165216

PORTLAND, ME

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Data as of Jan 3, 2023 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Mar 31, 2022 to Jan 3, 2023
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: $107M••• Locked
Discretionary RAUM: $107M
Private client RAUM: $107Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• M••••••• G•••••	PRINCIPAL & CHIEF COMPLIANCE OFFICER	E	yes	07/2012	Mar 31, 2022	Jan 3, 2023

Relationships

Controls (1)

← D••••••• M••••••• G•••••OwnerPRINCIPAL & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 31, 2022 to presentfactForm ADV

Registered with (2)

← P••• V•••••• K••••••Advisorregistration: previous registration
Jan 21, 2023 to Dec 31, 2023factForm ADV
← A••• B••••• E••••••••Advisorregistration: previous registration
Jun 8, 2015 to Dec 7, 2022factForm ADV

Dated events

Order

Occurred
31 Dec 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
7 Dec 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
31 Mar 2022
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 31, 2022
Last observed: Jan 3, 2023 45 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.