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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$168MItem 5.F on the latest filing (2014-03-31); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$168M

Private client RAUM

$0derivedItem 5.D individuals plus high net worth individuals

Private client share

0%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

7

Advisory employees

2

Accounts

4

Private funds

3Schedule D 7.B(1)

Private fund GAV

$165Mgross asset value as reported per fund; never fund size

Custody, client assets

$0

SEC number

801-65167

CRD

138838

Filings on the tape

5

First filed

Mar 29, 2012

Latest filed

Mar 31, 2014

Organised

Limited Liability Company, Delaware

Graph

RIA / Wealth Management

Canonical id

dfx:ria:55aaa4a2-8834-b35b-2559-91933f758a3f

First observed

Mar 29, 2012

Last observed

Mar 31, 2014 151 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.