DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

B••••••••• C••••••••• L••

CRD 111188

MILLBURN, NJ

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Search this name across graphsid dfx:ria:204e66a2-56a8-4007-5a4a-05bdea4af238

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 1
Observed: Mar 21, 2012 to Mar 24, 2026
24 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

B••••••••• C••••••••• I••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 8
Advisory employees: 8
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
C••••• S••••• J••••	CHIEF FINANCIAL OFFICER	C	yes	04/2001	Mar 21, 2012	Mar 22, 2024
F•••••• J••••• L•••	DIRECTOR OF RESEARCH	C	yes	01/2019	Feb 1, 2019	Mar 22, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	8	8	0	0

Relationships

Controls (4)

← S••••••••• L••••• M••••OwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 21, 2012 to Mar 22, 2024factForm ADV
← H•••••• K••••• A••••OwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Mar 21, 2012 to Mar 22, 2024factForm ADV
← C••••• S••••• J••••OwnerCHIEF FINANCIAL OFFICER, ownership code C, individual
Mar 21, 2012 to Mar 22, 2024factForm ADV
← F•••••• J••••• L•••OwnerDIRECTOR OF RESEARCH, ownership code C, individual
Feb 1, 2019 to Mar 22, 2024

Dated events

Occurred
Feb 1, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:204e66a2-56a8-4007-5a4a-05bdea4af238
First observed: Mar 21, 2012
Last observed: Mar 24, 2026 6 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.