DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

R••• I••••••••• U•• I•••••••••

CRD 155108

SYDNEY

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Search this name across graphsid dfx:ria:491af820-92fa-6cc1-babe-708ad003c556

Data as of Oct 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Oct 23, 2012
2 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Accounts: 0
SEC number: 801-71853
CRD: 155108

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••• N•••••••• J••••	CHIEF COMPLIANCE OFFICER	Na	no	08/2010	Mar 29, 2012	Oct 23, 2012
R••• I••••••••• ••••• A••••••• P•• L••	Company	E	no	08/2010	Mar 29, 2012	Oct 23, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••••• M••••• L••••••	n/a	n/a	n/a	N	yes	n/a
O•••• A•••• M••••••••• L••••••	n/a	n/a	n/a	N	no	n/a
T••••••• A••• A•••• M••••••••• L••••••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Oct 23, 2012	$0	$0	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$0	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Owns (2)

← R••• I••••••••• ••••• A••••••• P•• L••OwnerCOMPANY, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV
← L••••••• N•••••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Affiliated with (1)

← R••• I••••••••• L••••••Registered adviserother investment adviser, control, common control
factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:491af820-92fa-6cc1-babe-708ad003c556
First observed: Mar 29, 2012
Last observed: Oct 23, 2012 169 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.