DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

D••••••• E••••••••• I•••••••••

CRD 127431

BOSTON, MA

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Search this name across graphsid dfx:ria:29168804-1b40-cd67-d278-f75cd6d0795f

Data as of Jun 19, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2012 to Jun 19, 2013
2 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: $0derived••• Locked
Advisors on IAPD: 0
Employees: 16
Advisory employees: 12
SEC number: 801-62171
CRD: 127431
Filings on the tape: 2
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• W••••••• R•••••	Director	Na	yes	12/2004	Jul 6, 2012	Jun 19, 2013
K•••••••• J•••••• E•••••	Director	Na	yes	09/1996	Jul 6, 2012	Jun 19, 2013

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no
London	n/a	United Kingdom	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Jun 19, 2013	n/a	n/a	16	12	n/a	n/a	n/a
2011	Jul 6, 2012

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	n/a	n/a	n/a	n/a	n/a	16	n/a	n/a	n/a

Relationships

Controls (5)

← H••••••••• W••••••• R•••••OwnerDIRECTOR, ownership code NA, individual
Jul 6, 2012 to presentfactForm ADV
← K•••••••• J•••••• E•••••OwnerDIRECTOR, ownership code NA, individual
Jul 6, 2012 to presentfactForm ADV
← S••••• A••••• L••OwnerOWNER, DIRECTOR, CEO, ownership code D, individual
Jul 6, 2012 to presentfactForm ADV
← M•••••• E•••••• M•OwnerCHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 6, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29168804-1b40-cd67-d278-f75cd6d0795f
First observed: Jul 6, 2012
Last observed: Jun 19, 2013 161 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.