DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

T•• I••••••••• M••••••••• L•

CRD 308994

NEW YORK, NY

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Data as of Apr 14, 2020 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Apr 14, 2020 to Apr 14, 2020
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
Employees: 8
Advisory employees: 7
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
D•••••• M•••••• ••••	Member	C	yes	04/2020	Apr 14, 2020	Apr 14, 2020
D•••••• M•••••• ••••	PARTNER; MANAGER	C	yes	04/2020	Apr 14, 2020	Apr 14, 2020

Relationships

Controls (4)

← D•••••• M•••••• ••••OwnerMEMBER, ownership code C, individual
Apr 14, 2020 to presentfactForm ADV
← K••••• C••••• E••OwnerCHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, ownership code NA, individual
Apr 14, 2020 to presentfactForm ADV
← P•••••••• M••••••• J••••OwnerMEMBER, ownership code C, individual
Apr 14, 2020 to presentfactForm ADV
← T•• I••••••••• M••••••••• G• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Apr 14, 2020 to presentfact

Dated events

Order

Occurred
14 Apr 2020
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 14, 2020
Last observed: Apr 14, 2020 78 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.