DFX Intelligence

M••••••• L••• 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

M••••••• L••• L••

CRD 314482

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Search this name across graphsid dfx:ria:556233a1-948c-b794-d447-9a4a39232656

Data as of Oct 20, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: May 11, 2021 to Oct 20, 2021
8 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: $1.9M••• Locked
Discretionary RAUM: $1.9M
Private client RAUM: $1.9Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••••• S•••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, & ASSET MANAGER	E	yes	06/2021	May 11, 2021	Oct 20, 2021

Relationships

Controls (1)

← O••••••• S•••OwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, & ASSET MANAGER, ownership code E, individual
May 11, 2021 to presentfactForm ADV

Registered with (1)

← S••• O••••••Advisorregistration: previous registration
Jun 11, 2021 to Sep 28, 2024factForm ADV

Dated events

Occurred
Sep 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 11, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:556233a1-948c-b794-d447-9a4a39232656
First observed: May 11, 2021
Last observed: Oct 20, 2021 59 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.