DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

C•••• W••••• M••••••••• L••

CRD 170395

GARDEN CITY, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:56d0b5b3-49d8-1538-bd67-0e46621e8acf

Data as of Jun 8, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2015 to Jun 8, 2020
22 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: $9.2MItem 5.F on the latest filing (2020-06-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.2M
Private client RAUM: $9.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• J••••• R••••••	n/a	GARDEN CITY, NY	5	31	6	yes
B•••• M•••••• K•••••	n/a	GARDEN CITY, NY	5	33

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• A•••• H••••••• L••	OWNER SHAREHOLDER	E	yes	01/2014	Mar 27, 2015	Jun 8, 2020
K•••••• B••••• M••••••	Member	C	yes	11/2014	Mar 27, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• C•••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$9.2M	$10.1M	-8.0%	$10.5M	-4.1%	5	5	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••••• F•••••••• G••••• I•••	2	Mar 31, 2015	Oct 13, 2016	WESTBURY, NY	Team lift out	Other	8.0%

Relationships

Registered with (4)

← S•••••• M••• K•••••Advisorregistration: previous registration
Oct 13, 2016 to Jun 29, 2020factForm ADV
← R•••••• J••••• R••••••Advisorregistration: previous registration
May 21, 2018 to Jun 29, 2020factForm ADV
← B•••• M•••••• K•••••Advisorregistration: previous registration
May 14, 2015 to Jun 29, 2020factForm ADV
← S•••• D•••• W••••••

Dated events

Occurred
Mar 27, 2015
First Form ADV filing
C•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56d0b5b3-49d8-1538-bd67-0e46621e8acf
First observed: Mar 27, 2015
Last observed: Jun 8, 2020 76 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.