DFX Intelligence

S••••• F••••• O•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

S••••• F••••• O•••••• L••

CRD 137800

FORT LAUDERDALE, FL

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Data as of Jun 10, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 17
On other graphs: 0
Observed: Nov 16, 2011 to Jun 10, 2024
42 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: $915M••• Locked
Discretionary RAUM: $815M
Private client RAUM: $915Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C• F•••••••• C••••	Owner	E	yes	11/2019	May 31, 2024	Jun 10, 2024
C••••••	MANAGING MEMBER	D	yes	05/2024	May 31, 2024	Jun 10, 2024
C•••••• H••••••• I••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• P•••••• W••••• L••	n/a	Independent wealth	$165B	Y	no	n/a
S••••• B••••• • H•••••• L••	n/a	Other adviser	$23B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sewickley	Pa	United States	2	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$915M	$728M	25.7%	$584M	16.1%	12	14	1	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••	4	Aug 8, 2024	Oct 1, 2024	FORT LAUDERDALE, FL	Firm absorbed	RIA to RIA	57.1%
C••••••	2	Aug 8, 2024	Jun 18, 2024

Relationships

Affiliated with (9)

← A•••••• E••••• P••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S••••• B••••• • H•••••Registered adviserother investment adviser, common control
factForm ADV
→ R•••••••• I•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ O•• C•••••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Aug 8, 2024
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
4 advisors
Occurred
Aug 8, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Aug 8, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 8, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 16, 2011
Last observed: Jun 10, 2024 27 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.