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

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

C•••• C•••• A•••• M••••••••• L••

CRD 108415

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Search this name across graphsid dfx:ria:3ef80baa-04bc-0c29-2c33-b5ddd81212dd

Data as of Nov 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 28, 2012 to Nov 19, 2012
6 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: $33.3MItem 5.F on the latest filing (2012-11-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33.3M
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
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
M••••••• R••••••• G••••	MANAGING MEMBER, SENIOR PARTNER, CHIEF LEGAL OFFICER	B	yes	04/1999	Jun 28, 2012	Nov 19, 2012
R••••••••• R••••••• J•••	MANAGING MEMBER, CEO, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CHIEF INVESTMENT OFFICER	D	yes	04/1999

Relationships

Controls (3)

← R••••••••• R••••••• J•••OwnerMANAGING MEMBER, CEO, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CHIEF INVESTMENT OFFICER, ownership code D, individual
Jun 28, 2012 to presentfactForm ADV
← M••••••• R••••••• G••••OwnerMANAGING MEMBER, SENIOR PARTNER, CHIEF LEGAL OFFICER, ownership code B, individual
Jun 28, 2012 to presentfactForm ADV
← R•••••••• L•••• A•••OwnerMANAGING MEMBER, SENIOR PARTNER, ownership code B, individual
Jun 28, 2012 to presentfactForm ADV

Registered with (1)

← MITCHELL JAY BROWN

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ef80baa-04bc-0c29-2c33-b5ddd81212dd
First observed: Jun 28, 2012
Last observed: Nov 19, 2012 168 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.