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

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

F•••••••• S•••••••• I•••

CRD 129051

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Search this name across graphsid dfx:ria:5a9bb677-dd18-d1df-8a92-14c76a4d2402

Data as of Feb 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 2
Observed: Dec 9, 2011 to Feb 23, 2021
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

F•••••••• S•••••••• I•••

Investment consultant · shared crd

RIA / Wealth Managementidentity

F•••••••• S••••••• L••

Registered adviser · shared crd

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: $878MItem 5.F on the latest filing (2021-02-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $878M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
R••••• D•••••• M•••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	08/2003	Dec 9, 2011	Feb 23, 2021

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

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
2020	$878M	$757M	15.9%	$660M	10.0%	1	1	0	0

Relationships

Controls (1)

← R••••• D•••••• M•••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 9, 2011 to presentfactForm ADV

Dated events

Occurred
Feb 27, 2018
Regulatory AUM changed
F•••••••• S•••••••• I••• reported RAUM $659.8M, up 90% from $347.9M (2017-02-15 to 2018-02-27)
Form ADVobserved 7 days ago
$312M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a9bb677-dd18-d1df-8a92-14c76a4d2402
First observed: Dec 9, 2011
Last observed: Feb 23, 2021 67 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.