DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

M••••• I••••••••• C••••••••• I••

CRD 106116

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Data as of Mar 5, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2012 to Mar 5, 2019
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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-42406
CRD: 106116

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C••••••• E••••••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	09/1992	Mar 2, 2012	Mar 5, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 5, 2019	n/a	n/a	1	1	0	n/a	n/a
2017	Mar 5, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	n/a	n/a	n/a	n/a	1	1	0	0

Relationships

Controls (1)

← C•••••••• C••••••• E••••••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 2, 2012
Last observed: Mar 5, 2019 91 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.