DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

E••••••••• M•••• A••••••• L••

CRD 284518

MIAMI, FL

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Data as of Nov 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 15, 2016 to Nov 23, 2016
5 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: $100M••• Locked
Discretionary RAUM: $100M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• G•••••••• E•••••	MANAGING MEMBER, CHIEF FINANCIAL OFFICER	D	yes	06/2015	Jul 15, 2016	Nov 23, 2016
B••••••• J•••••• S••••••••	MEMBER, STRATEGIST	D	yes	06/2015	Jul 15, 2016	Nov 23, 2016

Relationships

Controls (2)

← B••••••• G•••••••• E•••••OwnerMANAGING MEMBER, CHIEF FINANCIAL OFFICER, ownership code D, individual
Jul 15, 2016 to presentfactForm ADV
← B••••••• J•••••• S••••••••OwnerMEMBER, STRATEGIST, ownership code D, individual
Jul 15, 2016 to presentfactForm ADV

Owns (2)

← G•••••••• N•••••••• H•••••OwnerCHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 15, 2016 to presentfactForm ADV
← C••••••••• Y•••• M••••••OwnerHEAD OF MARKETING, ownership code NA, individual

Dated events

Order

Occurred
15 Jul 2016
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 15, 2016
Last observed: Nov 23, 2016 119 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.