DFX Intelligence

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

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

L••••••• A•••••••• L••

CRD 241786

GREENWICH, CT

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Search this name across graphsid dfx:ria:5eb72331-3b08-69af-70a9-af5390e9e305

Data as of Jun 3, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jun 3, 2015 to Jun 3, 2015
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: $2••• Locked
Discretionary RAUM: $2
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• D•••••• H••••••	HEAD OF CAPITAL M•••ETS	Na	yes	05/2014	Jun 3, 2015	Jun 3, 2015
B••••••• G•••• A•	CHIEF CREDIT OFFICER	Na	yes	11/2008	Jun 3, 2015	Jun 3, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••••• C••••••• L••	n/a	n/a	n/a	Y	yes	n/a
L••••••• H• M•••••• I• L••	n/a	n/a	n/a	N	yes	n/a

Relationships

Controls (8)

← L••••••• C••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 3, 2015 to presentfactForm ADV
← F•••••••• M•••• L•••••••OwnerMEMBER, ownership code E, individual
Jun 3, 2015 to presentfactForm ADV
← M••••••••• C••••••••• G•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 3, 2015 to presentfactForm ADV
← B••••••• G•••• A•OwnerCHIEF CREDIT OFFICER, ownership code NA, individual
Jun 3, 2015 to presentfact

Dated events

Occurred
Jun 3, 2015
First Form ADV filing
L••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5eb72331-3b08-69af-70a9-af5390e9e305
First observed: Jun 3, 2015
Last observed: Jun 3, 2015 137 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.