DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N•••• C•••••• M••••••••• I•••

CRD 112938

BOCA RATON, FL

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Search this name across graphsid dfx:ria:5cb26fb2-05ad-22c5-9eb1-21b737738be0

Data as of Oct 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2011 to Oct 23, 2012
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: $12.5M••• Locked
Discretionary RAUM: $12.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $3.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••••••• P•••••••	n/a	BOCA RATON, FL	16	24	n/a	yes
D••••• A•••••• C•••••	Certified Financial Planner	BOCA RATON, FL	7	24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••• F•••••••• G••••• I•••	Shareholder	E	yes	12/1996	Nov 21, 2011	Oct 23, 2012
P••••• N•••••••• P•••••	President	Na	yes	12/1996	Nov 21, 2011	Oct 23, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Oct 23, 2012

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$12.5M	$74.5M	-83.2%	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (6)

← N••••••• P••••• P••••Advisorregistration: current employment
May 27, 2021 to presentfactForm ADV
← B•••• C•••••• R•••Advisorregistration: current employment
May 27, 2021 to presentfactForm ADV
← D••••• A•••••• C•••••Advisorregistration: current employment
Mar 20, 2019 to presentfactForm ADV
← F•••••••• P•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5cb26fb2-05ad-22c5-9eb1-21b737738be0
First observed: Nov 21, 2011
Last observed: Oct 23, 2012 169 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.