DFX Intelligence

S••••• R••• P•••••••• 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

S••••• R••• P•••••••• L••

CRD 175020

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Data as of Sep 26, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Mar 3, 2015 to Sep 26, 2016
7 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: $177M••• Locked
Discretionary RAUM: $177M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••• R••••••• L••	CHIEF INVESTMENT OFFICER, MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	01/2015	Mar 3, 2015	Sep 26, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 15, 2016	$177M	$177M	1	1	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$177M	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Controls (1)

← J•••••• R••••••• L••OwnerCHIEF INVESTMENT OFFICER, MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 3, 2015 to presentfactForm ADV

Dated events

Occurred
Mar 3, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 3, 2015
Last observed: Sep 26, 2016 121 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.