DFX Intelligence

D• W••••• S••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

D• W••••• S••••••• L••

CRD 299360

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Search this name across graphsid dfx:ria:4765f68b-f91e-f5a2-6d7d-b97601a258ea

Data as of Jan 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Oct 30, 2018 to Jan 13, 2026
26 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $44.0M••• Locked
Discretionary RAUM: $44.0M
Private client RAUM: $44.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $44.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• A••••• G•••••••	n/a	NEW YORK, NY	5	28	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• J••••• A•••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	09/2018	Oct 30, 2018	Jan 18, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$44.0M	$42.0M	4.8%	$51.5M	-5.1%	1	1	0	0

Relationships

Registered with (2)

← J•••• A••••• G•••••••Advisorregistration: current employment
May 29, 2021 to presentfactForm ADV
← N••••••• V•••••• M••••••Advisorregistration: previous registration
Jun 4, 2021 to Apr 12, 2023factForm ADV

Controls (1)

← G•••••••• J••••• A•••••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 30, 2018 to Jan 18, 2024factForm ADV

Dated events

Occurred
May 16, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 12, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 30, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4765f68b-f91e-f5a2-6d7d-b97601a258ea
First observed: Oct 30, 2018
Last observed: Jan 13, 2026 8 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.