DFX Intelligence

A••••• I••••••••• 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

A••••• I••••••••• M••••••••• L••

CRD 105588

NEW YORK, NY

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Data as of Oct 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Jan 24, 2012 to Oct 25, 2024
26 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 14
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• M••••••••• C•••••••••	Shareholder	E	yes	01/2004	May 24, 2013	Oct 25, 2024
H•••••••• D••••• P••••••	MANAGER, PRESIDENT AND CEO	Na	yes	12/2005	Jan 24, 2012	Oct 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$0	$2.3B	-100.0%	$3.2B	n/a	14	36	0	3

Relationships

Owns (3)

← H•••••••• C•••••• B•••••OwnerMANAGER, ownership code NA, individual
Jan 24, 2012 to presentfactForm ADV
← F•••••••• R••••••• S••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 24, 2012 to presentfactForm ADV
← A•••••• A••••• R••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 24, 2012 to presentfactForm ADV

Controls (2)

← H•••••••• D••••• P••••••OwnerMANAGER, PRESIDENT AND CEO, ownership code NA, individual

Dated events

Order

Occurred
25 Oct 2024
Regulatory AUM changed
••• Locked
Form ADV
down $166M
Occurred
12 Sep 2024
Regulatory AUM changed
••• Locked
Form ADV
down $450M
Occurred
16 Aug 2024
Regulatory AUM changed
••• Locked
Form ADV
down $1.5B
Occurred
30 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
down $843M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 24, 2012
Last observed: Oct 25, 2024 23 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.

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Jan 24, 2014	$3.0B	$3.0B	35	3	n/a	n/a	n/a
2012	Mar 19, 2013	$3.4B	$3.4B	35	4	n/a	n/a	n/a
2011	Jan 24, 2012	$3.2B	$3.2B	n/a	n/a	n/a	n/a	n/a