DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A••••••• C•••••• A•••••••• L••

CRD 331539

NEW YORK, NY

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Search this name across graphsid dfx:ria:4c925f1f-21a6-9507-15a9-d05200d408ba

Data as of Jun 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jun 7, 2024 to Jun 7, 2024
1 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
Employees: 3
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• H•••••••• I•••	100% OWNER OF SINGLE CLASS OF COMMON STOCK	E	yes	02/2013	Jun 7, 2024	Jun 7, 2024
A••••••• I••••••••• I•••	100% OWNER OF SINGLE CLASS OF MEMBERSHIP INTEREST	E	yes	02/2013	Jun 7, 2024	Jun 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• A•••• • W••••• M••••••••• L••	n/a	Former SEC adviser	n/a	N	yes	n/a
A•••••••• L••	n/a	n/a	n/a	Y	no	n/a

Relationships

Affiliated with (1)

→ A••••••• A•••• • W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (7)

← B••••• J•••• T•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 7, 2024 to presentfactForm ADV
← F••••• R•••• G•••••OwnerEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, & SECRETARY, ownership code NA, individual
Jun 7, 2024 to presentfactForm ADV
← K••••••• C•••••••• L••••Owner

Dated events

Occurred
Jun 7, 2024
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c925f1f-21a6-9507-15a9-d05200d408ba
First observed: Jun 7, 2024
Last observed: Jun 7, 2024 27 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.