DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

T••••••••• • L•••• I••

CRD 107104

NEW YORK, NY

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Search this name across graphsid dfx:ria:49464df5-d6e8-4370-6e3b-04a937fad0fe

Data as of Jan 30, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2011 to Jan 30, 2019
13 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: $803M••• Locked
Discretionary RAUM: $795M
Private client RAUM: $755Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• J••••••• M•	DIRECTOR, PRESIDENT	E	yes	12/2006	Dec 16, 2011	Jan 30, 2019
F•••••••• H•••••• R•	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	no	06/2015	Dec 16, 2011	Jan 30, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$803M	$757M	6.1%	$653M	7.1%	6	6	1	1

Relationships

Owns (1)

← F•••••••• H•••••• R•OwnerEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV

Controls (1)

← L••••• J••••••• M•OwnerDIRECTOR, PRESIDENT, ownership code E, individual
Dec 16, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49464df5-d6e8-4370-6e3b-04a937fad0fe
First observed: Dec 16, 2011
Last observed: Jan 30, 2019 93 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.