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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

M••••••• D••••••••• F••• M••••••••• L••

CRD 132233

ALBANY, NY

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Search this name across graphsid dfx:ria:345ec67f-f720-bdc2-a21f-c7df53d7148c

Data as of Dec 12, 2011 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2011 to Dec 12, 2011
1 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: $718MItem 5.F on the latest filing (2011-12-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $718M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

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
B••••• P••••• M•••••	Partner	Na	yes	01/2008	Dec 12, 2011	Dec 12, 2011
F••••••• H•••••• B••••	PARTNER - RESEARCH	Na	yes	01/2007	Dec 12, 2011

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• C•••••• P•••••••• I•••	Investment Adviser	Former SEC adviser	$282M	n/a	n/a	n/a
M••••••• D••••••••• F•••• L••	Investment Adviser	n/a	n/a	n/a	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

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

Relationships

Affiliated with (1)

→ M••••••• C•••••• P•••••••• I•••Registered adviser
factForm ADV

Controls (10)

← L•••••••• W••••••• H••••OwnerMEMBER, ownership code E, individual
Dec 12, 2011 to presentfactForm ADV
← S••••• L••••• K••••••••OwnerMANAGING DIRECTOR, OPERATIONS, ownership code NA, individual
Dec 12, 2011 to presentfactForm ADV
← B••••• P••••• M•••••OwnerPARTNER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:345ec67f-f720-bdc2-a21f-c7df53d7148c
First observed: Dec 12, 2011
Last observed: Dec 12, 2011 179 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.