DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

N••••• C••••• M••••••••• L•

CRD 169430

STAMFORD, CT

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Search this name across graphsid dfx:ria:5971aa25-70d2-ad08-165c-bdb44053d197

Data as of May 19, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 5, 2013 to May 19, 2014
3 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Accounts: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• A••••• A•••	OWNER, PRESIDENT OF THE GENERAL PARTNER, N••••• C••••• S•••••	E	yes	07/2013	Nov 5, 2013	May 19, 2014
N••••• C••••• S•••••	GENERAL PARTNER	Na	yes	07/2013	Nov 5, 2013	May 19, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••• C•••••• M••••••••• L•	n/a	Former SEC adviser	$32.6M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 20, 2014	$0	$0	3	3	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$0	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ N••••• C•••••• M•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (2)

← M••••• A••••• A•••OwnerOWNER, PRESIDENT OF THE GENERAL PARTNER, N••••• C••••• S•••••, ownership code E, individual
Nov 5, 2013 to presentfactForm ADV
← N••••• C••••• S•••••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Nov 5, 2013 to presentfactForm ADV

Owns (1)

Dated events

Occurred
Nov 5, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5971aa25-70d2-ad08-165c-bdb44053d197
First observed: Nov 5, 2013
Last observed: May 19, 2014 150 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.