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S•••••••• B••• 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

S•••••••• B••• L••••••

CRD 170883

GRAND CAYMAN

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Data as of Oct 3, 2017 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: May 28, 2014 to Oct 3, 2017
7 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: $647M••• Locked
Discretionary RAUM: $0
Private client RAUM: $141Mderived••• Locked
Private client share: 22%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• W••••••• E••••	Director	Na	yes	01/2014	Sep 30, 2015	Oct 3, 2017
H•••••• M••••••• J••• B••••	MANAGING DIRECTOR	Na	yes	01/2014	May 28, 2014	Oct 3, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Oct 3, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$647M	$44.8M	1344.5%	$36.5M	160.8%	7	7	1	n/a

Relationships

Controls (9)

← N••••••• A•••••• D••••OwnerDEPUTY MANAGING DEIRECTOR, ownership code NA, individual
May 28, 2014 to presentfactForm ADV
← H•••••• M••••••• J••• B••••OwnerMANAGING DIRECTOR, ownership code NA, individual
May 28, 2014 to presentfactForm ADV
← H••••••••• S•••• R•••••OwnerCHIEF COMPLIANCE OFFICER / MONEY LAUNDERING REPORTING OFFICER, ownership code NA, individual
May 28, 2014 to presentfactForm ADV
← S•••••••• D•••••OwnerDIRECTOR, ownership code NA, individual
Sep 30, 2015 to present

Dated events

Order

Occurred
28 May 2014
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 28, 2014
Last observed: Oct 3, 2017 109 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.