DFX Intelligence

Q••• V••• C••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

Q••• V••• C••••••••• I••

CRD 104714

MANHASSET, NY

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Search this name across graphsid dfx:ria:39579794-64a5-7485-4051-6a19bde6e0d6

Data as of Mar 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Jan 27, 2012 to Mar 14, 2026
21 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Q••• V••• C•••••••••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 6
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••••• H•••••• P•••••••	Secretary	A	yes	12/2014	Feb 9, 2015	Sep 3, 2024
L••••••••• M•••• W••••••	CHAIRMAN, PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	10/2016	Jan 27, 2012	Sep 3, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 14, 2026

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	$0	$0	n/a	n/a	n/a	6	6	0	0

Relationships

Owns (1)

← L••••••••• A••••••• B•••••••••OwnerSHAREHOLDER, ownership code A, individual
Jul 26, 2012 to Sep 3, 2024factForm ADV

Controls (3)

← L••••••••• M•••• W••••••OwnerCHAIRMAN, PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 27, 2012 to Sep 3, 2024factForm ADV
← M••••• T•••••• A•••••OwnerVICE PRESIDENT, ownership code A, individual
Jan 27, 2012 to Sep 3, 2024factForm ADV
← L••••••••• H•••••• P•••••••OwnerSECRETARY, ownership code A, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39579794-64a5-7485-4051-6a19bde6e0d6
First observed: Jan 27, 2012
Last observed: Mar 14, 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.