DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

R••• I••••••••• L••••••

CRD 148789

SYDNEY

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Search this name across graphsid dfx:ria:43cab432-fcfe-e127-72dd-74e355949130

Data as of Apr 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2012 to Apr 16, 2012
1 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: $2.3B••• Locked
Discretionary RAUM: $2.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 16
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• R••••••• P••••	INVESTMENT DIRECTOR, SHAREHOLDER	C	yes	06/2006	Apr 16, 2012	Apr 16, 2012
F••••••••• J•••••	DIRECTOR, CHIEF FINANCIAL OFFICER	Na	yes	06/2006	Apr 16, 2012	Apr 16, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••• I••••••••• ••••• A••••••• P•• L••	n/a	Asset manager	$2.2B	Y	yes	n/a
R••• I••••••••• U•• I•••••••••	n/a	Former SEC adviser	$0	Y	yes	n/a

Relationships

Affiliated with (2)

→ C••••••••• I••••••••• ••••• A••••••• P•• L••••••Registered adviserother investment adviser, control, common control
factForm ADV
→ R••• I••••••••• U•• I•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← L••••••• N•••••••• J••••OwnerINVESTMENT DIRECTOR, SHAREHOLDER, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Apr 16, 2012 to presentfactForm ADV
← E••••••• R••••••• P••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43cab432-fcfe-e127-72dd-74e355949130
First observed: Apr 16, 2012
Last observed: Apr 16, 2012 175 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.