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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

W••••••••• I••

CRD 105479

PRINCETON, NJ

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Search this name across graphsid dfx:ria:27b209c2-7798-aa5b-6b45-8776aa1cdd90

Data as of Feb 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2012 to Feb 26, 2019
8 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-33835
CRD: 105479

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• R•••••• A••••	MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER	C	yes	08/1999	Feb 27, 2012	Feb 26, 2019
H••••••• L••••• Y•••••	MANAGING DIRECTOR	C	yes	08/1999	Feb 27, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Feb 26, 2019	n/a	n/a	5	3	1	n/a	n/a
2017

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	n/a	n/a	n/a	n/a	5	5	1	1

Relationships

Controls (3)

← C••••• R•••••• A••••OwnerMANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Feb 27, 2012 to presentfactForm ADV
← H••••••• L••••• Y•••••OwnerMANAGING DIRECTOR, ownership code C, individual
Feb 27, 2012 to presentfactForm ADV
← K••••• D•••••• T•••••OwnerMANAGING DIRECTOR, ownership code C, individual
Feb 27, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27b209c2-7798-aa5b-6b45-8776aa1cdd90
First observed: Feb 27, 2012
Last observed: Feb 26, 2019 92 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.