DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

D••• U•• A•••• M••••••••• L••

CRD 288122

NEW YORK, NY

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Search this name across graphsid dfx:ria:22aea2df-b439-3a3f-1765-d2ee568c766f

Data as of Oct 25, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: May 31, 2017 to Oct 25, 2017
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: $26.0M••• Locked
Discretionary RAUM: $26.0M
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
D••• G•••• L••••••	Member	E	yes	10/2009	May 31, 2017	Oct 25, 2017
D••• S••••• L••••••	EQUITY OWNER	E	yes	02/2010	May 31, 2017	Oct 25, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••• A•••• M••••••••• L•••	n/a	FORMER_SEC_A••••••	$365M	N	yes	n/a
D••• A••••••••• I••••••••• ••• L••	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (2)

← D••• A•••• M••••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ D••• A•••• M••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV

Controls (3)

← G••••• H••••• I•••OwnerSHAREHOLDER, ownership code E, individual
May 31, 2017 to presentfactForm ADV
← D••• G•••• L••••••Owner

Dated events

Occurred
May 31, 2017
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22aea2df-b439-3a3f-1765-d2ee568c766f
First observed: May 31, 2017
Last observed: Oct 25, 2017 108 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.