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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

P•••••• S••••• A•••••••• L••

CRD 143609

SEATTLE, WA

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Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2017
10 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: $61.7M••• 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: $61.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• J••••••• R••••••	n/a	New York, NY	5	25	5	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• S••••• H••••••• L••	Member	E	yes	12/2013	Mar 28, 2014	Mar 30, 2017
P•••••• W••••• P•••••••• L••	Member	E	yes	12/2013	Mar 28, 2014	Mar 30, 2017

Offices

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$61.7M	$76.8M	-19.7%	$238M	-36.2%	16	16	n/a	n/a

Relationships

Registered with (1)

← A••••• J••••••• R••••••Advisorregistration: previous registration
Feb 18, 2009 to Dec 31, 2013factForm ADV

Controls (4)

← R••••••• A•••••• J•••••••OwnerMANAGER/PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← R•••••••• K••••••• R•••••OwnerSECRETARY, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← P•••••• S••••• H••••••• L••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 30, 2017 115 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.