DFX Intelligence

E•• 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 under $100M

E•• A••••••• S••••••• I••

CRD 104927

BETHESDA, MD

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Search this name across graphsid dfx:ria:27406fb6-52e0-3174-a299-26fd43e3c00c

Data as of May 22, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2012 to May 22, 2012
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: $39.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $39.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••••• S••••••••• D•••	n/a	SOUTH ORANGE, NJ	4	46	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• E•••••• S•••••••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	08/1982	Feb 13, 2012	May 22, 2012

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Relationships

Registered with (1)

← E••••• S••••••••• D•••Advisorregistration: current employment
Jan 25, 2022 to presentfactForm ADV

Controls (1)

← D•••• E•••••• S•••••••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 13, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27406fb6-52e0-3174-a299-26fd43e3c00c
First observed: Feb 13, 2012
Last observed: May 22, 2012 174 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.