DFX Intelligence

Data Factory

R•••••• C•••••••• I••••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

R•••••• C•••••••• I••••••• S•••••••• L••

CRD 311072

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3d3bcd1d-d1c5-6739-2245-f2fe96d924a8

Data as of Sep 10, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Oct 22, 2020 to Sep 10, 2021
9 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: $25.1MItem 5.F on the latest filing (2021-09-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $25.1M
Private client RAUM: $25.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
C••••••••• R••••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	09/2020	Oct 22, 2020	Sep 10, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Feb 11, 2021	$25.1M	$25.1M	1	1	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$25.1M	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Controls (1)

← C••••••••• R••••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 22, 2020 to presentfactForm ADV

Registered with (1)

← R•••••• C••••••••Advisorregistration: previous registration
Feb 14, 2021 to Dec 10, 2021factForm ADV

Dated events

Occurred
Oct 22, 2020
First Form ADV filing
R•••••• C•••••••• I••••••• S••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d3bcd1d-d1c5-6739-2245-f2fe96d924a8
First observed: Oct 22, 2020
Last observed: Sep 10, 2021 61 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.