DFX Intelligence

V•••• A••••••••• 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 100m 1b

V•••• A••••••••• A•••• M••••••••• L••

CRD 134390

HOBOKEN, NJ

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Search this name across graphsid dfx:ria:4826cc9a-06e6-a960-f588-917d8dcbaed9

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Mar 27, 2018
10 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: $107M••• Locked
Discretionary RAUM: $97.9M
Private client RAUM: $95.9Mderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• R••••••• H•••••	MANAGING MEMBER AND CHIEF INVESTMENT OFFICER	E	yes	12/2001	Mar 27, 2012	Mar 27, 2018
F•••••• V•••••••• L•••••	CHIEF COMPLIANCE OFFICER, MEMBER	B	no	12/2001	Mar 27, 2012	Mar 27, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••••• F•••••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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	$107M	$115M	-7.1%	$154M	-11.5%	2	3	0	n/a

Relationships

Owns (1)

← F•••••• V•••••••• L•••••OwnerCHIEF COMPLIANCE OFFICER, MEMBER, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV

Controls (1)

← K•••••• R••••••• H•••••OwnerMANAGING MEMBER AND CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Affiliated with (1)

← B•••••••• F•••••••• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4826cc9a-06e6-a960-f588-917d8dcbaed9
First observed: Mar 27, 2012
Last observed: Mar 27, 2018 103 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.