DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A•••••• F•••••••• L•

CRD 281512

NEW YORK, NY

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Search this name across graphsid dfx:ria:29b3e35b-598a-35c6-741a-f4ef68331030

Data as of Apr 6, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2015 to Apr 6, 2016
4 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: 10
Advisory employees: 9
SEC number: 801-107040
CRD: 281512
Filings on the tape: 4
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• H•••••••• L••	GENERAL PARTNER	Na	yes	10/2015	Dec 5, 2015	Apr 6, 2016
B••••• R•••••• T•••••	LIMITED PARTNER	B	yes	03/2016	Dec 5, 2015	Apr 6, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••••••• W••••• M••••••••• L•	n/a	Former SEC adviser	$1.5B	N	yes	n/a
S••••••••• C••••••• L••	n/a	Asset manager	$1.0B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Norwalk	Ct	United States	n/a	no
Bethesda	Md	United States	n/a	no
Livingston	Nj	United States	n/a	no
Plainview	NY	United States	n/a	no
WHITE PLAINS	NY	United States

Relationships

Affiliated with (3)

→ C••••••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C••••• C•••••••• W••••• M••••••••• L•Registered adviserother investment adviser, common control
factForm ADV
→ S••••••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← P•••••••• D••••• J•••••Owner

Dated events

Occurred
Dec 5, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29b3e35b-598a-35c6-741a-f4ef68331030
First observed: Dec 5, 2015
Last observed: Apr 6, 2016 127 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.