DFX Intelligence

A••••• L••• C•••••• 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 1bsuccession filed

A••••• L••• C•••••• M••••••••• L•

CRD 283410

STAMFORD, CT

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Search this name across graphsid dfx:ria:3e4df1e3-1627-744a-c205-f6f9864490f2

Data as of May 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Apr 19, 2016 to May 9, 2018
12 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: $665M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• J•••• S•	TRUSTEE OF R••••• J• F•••• 2••• F••••• T••••	Na	yes	12/2016	Jan 12, 2017	May 9, 2018
F••••• R•••••• J•••••	MEMBER, MANAGER AND CHIEF INVESTMENT OFFICER	C	yes	04/2016	Apr 19, 2016	May 9, 2018

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	9	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Feb 13, 2018

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	$665M	$860M	-22.7%	n/a	n/a	13	9	1	n/a

Relationships

Controls (7)

← G•••••••• D••• L••••OwnerMEMBER AND MANAGER, ownership code B, individual
Oct 25, 2016 to presentfactForm ADV
← F••••• R•••••• J•••••OwnerMEMBER, MANAGER AND CHIEF INVESTMENT OFFICER, ownership code C, individual
Apr 19, 2016 to presentfactForm ADV
← H••••••• K••••••• D••••••OwnerMEMBER, MANAGER, DIRECTOR OF RESEARCH AND STRATEGY, ownership code C, individual
Apr 19, 2016 to presentfactForm ADV
← H••••••• W••••••OwnerTRUSTEE OF K•••••• H•••••• 2••• F••••• T••••, ownership code NA, individual
Jan 12, 2017 to present

Dated events

Occurred
May 9, 2018
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 19, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e4df1e3-1627-744a-c205-f6f9864490f2
First observed: Apr 19, 2016
Last observed: May 9, 2018 101 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.