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

independent wealth managerderivedprivate_client_share=0.5 fund_share=0.08 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0

Regulatory AUM

$879MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$865M

Private client RAUM

$441MderivedItem 5.D individuals plus high net worth individuals

Private client share

50%derivedprivate client RAUM over total RAUM

Advisors on IAPD

7

RAUM per advisor

• Occurred

  Jan 16, 2026
  Succession filed (Item 4)

  P••• P•••• C•••••• C••••••••• reported succeeding to the business of P••• P•••• C•••••• C••••••••• (Form ADV Item 4)

  Form ADVobserved 6 days ago
• Occurred

  Mar 26, 2024
  Regulatory AUM changed

  P••• P•••• C•••••• C••••••••• reported RAUM $602.1M, down 30% from $854.4M (2023-08-31 to 2024-03-26)

  Form ADVobserved 6 days ago
  $-252M
• Occurred

  Mar 23, 2023
  Regulatory AUM changed

  P••• P•••• C•••••• C••••••••• reported RAUM $854.4M, up 45% from $587.3M (2022-04-14 to 2023-03-23)

  Form ADVobserved 6 days ago
  $267M

Graph

RIA / Wealth Management

Canonical id

dfx:ria:573303c1-0985-93ca-45a4-b0fedefc046f

First observed

Jan 26, 2012

Last observed

Mar 13, 2026 6 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.