DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

H•••••••• •••••••• A••••••• L••••••

CRD 295540

B••••••

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Search this name across graphsid dfx:ria:1d2308de-0b57-3766-e7ab-3d088413b40c

Data as of Apr 24, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2018 to Apr 24, 2018
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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 83
Advisory employees: 35
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-113111
CRD: 295540

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• R••••••• A•	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	11/2012	Mar 31, 2018	Apr 24, 2018
L••••• L•	EXECUTIVE OFFICER	Na	yes	04/2012	Apr 24, 2018	Apr 24, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$62B	N	yes	n/a
H•••••••• C•••••• A•••••••• L•••	n/a	Former SEC adviser	$46B	N	yes	n/a

Relationships

Affiliated with (7)

← H•••••••• I••••••••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
← H•••••••• C•••••• M••••••••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ H•••••••• I••••••••• M••••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ H••• A•••••••• L•••Registered adviser

Dated events

Occurred
Mar 31, 2018
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d2308de-0b57-3766-e7ab-3d088413b40c
First observed: Mar 31, 2018
Last observed: Apr 24, 2018 102 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.