DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•••••• • P••••••• W••••• M••••••••• L••

CRD 109013

PROVIDENCE, RI

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Search this name across graphsid dfx:ria:32d67299-1a80-8b24-3e04-92e89471c82d

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2012 to Mar 24, 2026
25 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: independent wealth managerderivedprivate_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $131M••• Locked
Discretionary RAUM: $131M
Private client RAUM: $114Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $65.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G••••• A•••• G••••	n/a	PROVIDENCE, RI	16	26	3	no
L••••• W••••• S••••••	n/a	PROVIDENCE, RI	0	38

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••• I••••••••• L•••	Hedge Fund	$700,000	Mar 24, 2014	8	Apr 3, 2012	dropped	021-127341

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••• L••	Member	E	yes	06/1998	Apr 3, 2012	Apr 16, 2024
S••••••• L•••••• W•••••	MANAGING MEMBER	E	yes	06/1998	Apr 3, 2012	Apr 16, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••••••••• W••••• R••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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
2025	$131M	$122M	7.3%	$104M	8.1%	3	3	0	0

Relationships

Registered with (3)

← L••••• W••••• S••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← G••••• A•••• G••••Advisorregistration: current employment
Nov 13, 2009 to presentfactForm ADV
← MARIA ANN TZITZOURIS PLANTEAdvisorregistration: previous registration
Jan 1, 2000 to Nov 23, 2004factForm ADV

Controls (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32d67299-1a80-8b24-3e04-92e89471c82d
First observed: Apr 3, 2012
Last observed: Mar 24, 2026 6 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.