DFX Intelligence

T•• A••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

T•• A••••••• S•••••••• I•••

CRD 121747

TOWSON, MD

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Search this name across graphsid dfx:ria:2126876b-32e4-6004-a7dc-41732fac83d1

Data as of Jul 9, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Feb 25, 2022 to Jul 9, 2024
4 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: $155M••• Locked
Discretionary RAUM: $0
Private client RAUM: $154Mderived••• Locked
Private client share: 100%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
S••••••• E••••••••• P••••••	Trustee	E	yes	06/2024	Jul 9, 2024	Jul 9, 2024
S••••••• E••••••••• P••••••	VICE PRESIDENT; CCO; TRUSTEE OF T••••• L. S•••••• I••••••••• TRUST	Na	yes	06/2024	Jul 9, 2024	Jul 9, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• F•••••••• S•••••••• I•••	n/a	n/a	n/a	Y	yes	n/a
T•• I•••••••• S•••••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Feb 22, 2024

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	$155M	$141M	9.7%	n/a	n/a	3	1	0	0

Relationships

Controls (2)

← S••••••• E••••••••• P••••••OwnerTRUSTEE, ownership code E, individual
Jul 9, 2024 to presentfactForm ADV
← T•• T••••• L• S•••••• I••••••••• T••••OwnerOWNER, ownership code E, domestic entity
Jul 9, 2024 to presentfactForm ADV

Registered with (1)

← S•••••• O•••Advisorregistration: previous registration
Sep 9, 2004 to Apr 20, 2017factForm ADV

Dated events

Occurred
Jul 9, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 9, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 25, 2022
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2126876b-32e4-6004-a7dc-41732fac83d1
First observed: Feb 25, 2022
Last observed: Jul 9, 2024 26 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.