DFX Intelligence

O••••• S••••• W••••• 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

O••••• S••••• W••••• M••••••••• L••

CRD 154011

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Search this name across graphsid dfx:ria:1d113e86-9716-fca6-6f4a-47b44b16b094

Data as of Jan 5, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2011 to Jan 5, 2012
2 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: $15.0M••• Locked
Discretionary RAUM: $15.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 20
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••••• D••••••• O•••••	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER	D	yes	07/2010	Nov 8, 2011	Jan 5, 2012

Relationships

Controls (1)

← K••••••••• D••••••• O•••••OwnerMANAGING PARTNER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Nov 8, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d113e86-9716-fca6-6f4a-47b44b16b094
First observed: Nov 8, 2011
Last observed: Jan 5, 2012 179 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.