DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C••••• F•••••••• S•••••••• L••

CRD 163732

HUNTINGTON, NY

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Search this name across graphsid dfx:ria:23fa1649-5168-94f3-232f-c7c958db8ecb

Data as of Apr 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Apr 14, 2012 to Apr 14, 2012
1 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
Accounts: 0
SEC number: 801-76567
CRD: 163732

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• D•••• L••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	04/2012	Apr 14, 2012	Apr 14, 2012

Relationships

Controls (1)

← M••••••• D•••• L••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 14, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23fa1649-5168-94f3-232f-c7c958db8ecb
First observed: Apr 14, 2012
Last observed: Apr 14, 2012 175 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.