DFX Intelligence

W••• S••••• M••••••••• C•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

W••• S••••• M••••••••• C•••••••••

CRD 169187

DARIEN, CT

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Search this name across graphsid dfx:ria:56489bd8-09c7-6fb5-2be6-00f68534604c

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Oct 25, 2013 to Mar 31, 2021
23 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
High net worth clients: 0
SEC number: 801-78754

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• S••••• M••••	Shareholder	C	yes	03/1989	Oct 25, 2013	Mar 31, 2021
M••••• P•••••• M•••••	Shareholder	C	yes	03/1989	Oct 25, 2013	Mar 31, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••• A•••• M••••••••• I•••	n/a	Independent wealth	$534M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	n/a	n/a	n/a	$6.6M	n/a	4	4	0	0

Relationships

Affiliated with (4)

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

Dated events

Occurred
Oct 25, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56489bd8-09c7-6fb5-2be6-00f68534604c
First observed: Oct 25, 2013
Last observed: Mar 31, 2021 66 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.