DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

V••••• H•••••• I••••••••• S•••••••• L••••••

CRD 328869

CORK

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Search this name across graphsid dfx:ria:5ba490e9-f9a1-82b4-632f-0e9d5b951a1e

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 5
On other graphs: 0
Observed: Oct 27, 2023 to Mar 18, 2026
8 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••••• S•••• M••••••	MANAGING MEMBER	E	yes	10/2023	Oct 27, 2023	Mar 25, 2024
S••••••••• G•••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2023	Oct 27, 2023	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 18, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	2	2	0	1

Relationships

Controls (2)

← S••••••••• G•••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 27, 2023 to Mar 25, 2024factForm ADV
← E•••••••• S•••• M••••••OwnerMANAGING MEMBER, ownership code E, individual
Oct 27, 2023 to Mar 25, 2024factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 18, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 18, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Oct 27, 2023
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Show 2 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ba490e9-f9a1-82b4-632f-0e9d5b951a1e
First observed: Oct 27, 2023
Last observed: Mar 18, 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.