DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

M•••••••• C•••••• M••••••••• L••

CRD 166687

NEW YORK, NY

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Search this name across graphsid dfx:ria:1d1bf777-9408-376e-845d-7c504c6a5908

Data as of Jun 13, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 13, 2013 to Jun 13, 2013
1 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 9
Advisory employees: 4
SEC number: 801-78225
CRD: 166687
Filings on the tape: 1
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• P•••• J•••••	CHIEF EXECUTIVE OFFICER	D	yes	03/2013	Jun 13, 2013	Jun 13, 2013
M••••••••• A•••••• P••••	DIRECTOR OF INVESTMENT RESEARCH	B	yes	03/2013	Jun 13, 2013	Jun 13, 2013

Relationships

Controls (3)

← S•••••• C••••••• C••••••OwnerDIRECTOR OF MARKETING, ownership code B, individual
Jun 13, 2013 to presentfactForm ADV
← M••••••••• A•••••• P••••OwnerDIRECTOR OF INVESTMENT RESEARCH, ownership code B, individual
Jun 13, 2013 to presentfactForm ADV
← C•••••••• P•••• J•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Jun 13, 2013 to presentfactForm ADV

Owns (4)

← H••••• D••••OwnerMEMBER, ownership code A, individual

Dated events

Occurred
Jun 13, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d1bf777-9408-376e-845d-7c504c6a5908
First observed: Jun 13, 2013
Last observed: Jun 13, 2013 161 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.