DFX Intelligence

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

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

E••••••• A•••• M••••••••• L••

CRD 139006

NEW YORK, NY

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Search this name across graphsid dfx:ria:5e86cfbe-50cc-51fa-8962-f619473af6fd

Data as of Dec 17, 2011 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Dec 17, 2011 to Dec 17, 2011
1 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: $482M••• Locked
Discretionary RAUM: $438M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 32
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• G•••• H•••••• L•	MANAGING MEMBER	E	yes	12/2003	Dec 17, 2011	Dec 17, 2011
E••••••• G•••• H•••••••• L•••••	GENERAL PARTNER	F	yes	01/2003	Dec 17, 2011	Dec 17, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••••• W••••• M••••••••• L••	Investment Adviser	Independent wealth	$16B	n/a	n/a	n/a
A••••••• S•••••• C••••••• L••	Investment Adviser	Institutional manager	$5.0B	n/a	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	n/a	no

Relationships

Affiliated with (3)

→ A••••••• S•••••• C••••••• L••Registered adviser
factForm ADV
→ A••••••• S•••••• M••••••••• L••Registered adviser
factForm ADV
→ E••••••• W••••• M••••••••• L••Registered adviser
factForm ADV

Controls (9)

← L•••••• G•••• S••••OwnerHEAD OF SALES AND MARKETING, ownership code NA, individual
Dec 17, 2011 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e86cfbe-50cc-51fa-8962-f619473af6fd
First observed: Dec 17, 2011
Last observed: Dec 17, 2011 179 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.