DFX Intelligence

E• M••••• O•••••••• • C•• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

E• M••••• O•••••••• • C•• I•••

CRD 14268

NEW YORK, NY

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Search this name across graphsid dfx:ria:4836f672-f52e-2e24-4b5f-ac03b1159b9a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 8
On other graphs: 1
Observed: Apr 27, 2012 to Mar 31, 2026
33 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

E• M••••• O•••••••• • C•• I•••

Private equity manager · shared crd

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=true related_bank=false bd_reps=0.0
Regulatory AUM: $9.5M••• Locked
Discretionary RAUM: $9.5M
Private client RAUM: $9.5Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $9.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• A••••••	Chartered Financial Analyst	New York, NY \| NEW YORK, NY \| ENGLEWOOD, CO	3	21	n/a	yes

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• S••••	MANAGING DIRECTOR	Na	yes	11/2019	Mar 20, 2020	Mar 29, 2024
M•••••• J•••••••• E•••••	Ceo	E	yes	01/2023	Feb 15, 2023	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• A••••••• S•••••••• I•••	n/a	Independent wealth	$271M	N	yes	n/a
P••••••• C•••••• M••••••• L••	n/a	n/a	n/a	N	yes

Regulatory AUM by fiscal year

••• Locked

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

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	$9.5M	$70.4M	-86.5%	$56.4M	-44.8%	1	2	0	0

Relationships

Affiliated with (2)

← P••••••• A••••••• S•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ P••••••• A••••••• S•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ E••••• S••••••• R••••• L• F•••Private fundOther Private Fund, IA
Aug 1, 2019 to presentfactForm ADV

Registered with (1)

Dated events

Occurred
Mar 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4836f672-f52e-2e24-4b5f-ac03b1159b9a
First observed: Apr 27, 2012
Last observed: Mar 31, 2026 5 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.