DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I•• P•••••• W••••• P•••••••• L••

CRD 284726

BOCA RATON, FL

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Search this name across graphsid dfx:ria:54ceb1dd-70b4-97c0-c71c-3eb61249a144

Data as of Nov 2, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Jul 20, 2016 to Nov 2, 2017
14 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: $4.7M••• Locked
Discretionary RAUM: $4.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• A•••• D•••	CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR	D	yes	02/2005	Jul 20, 2016	Nov 2, 2017
F••••••• M••••••• A•••••	MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD & CCO	Na	yes	08/2017	Jul 20, 2016	Nov 2, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••••••• P•••••••• C••••••••• I•••	n/a	Former SEC adviser	$2.0B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 29, 2017	$4.7M	$4.7M	6	1	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
2016	$4.7M	n/a	n/a	n/a	n/a	3	n/a	1	n/a

Relationships

Affiliated with (2)

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

Controls (6)

← M•••••• J•••• D•••••OwnerMANAGING MEMBER, PRESIDENT, ownership code NA, individual
Jul 20, 2016 to presentfactForm ADV
← J••••••••• F••••••••• S•••••Owner

Dated events

Occurred
Jul 20, 2016
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54ceb1dd-70b4-97c0-c71c-3eb61249a144
First observed: Jul 20, 2016
Last observed: Nov 2, 2017 108 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.