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M••• I••••••••• A••••••• S••••••• 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

M••• I••••••••• A••••••• S••••••• L••

CRD 126255

BRONXVILLE, NY

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Search this name across graphsid dfx:ria:5f4867b1-74f5-02de-0258-fd8679111b2b

Data as of Feb 5, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to Feb 5, 2016
7 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: $19.1MItem 5.F on the latest filing (2016-02-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $19.1M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• D•••••• S•••••	CHIEF COMPLIANCE OFFICER/ PRESIDENT	E	yes	04/2000	Mar 16, 2012	Feb 5, 2016

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$19.1M	$26.3M	-27.3%	$31.3M	-15.1%	2	2	n/a	n/a

Relationships

Controls (1)

← M••••••••• D•••••• S•••••OwnerCHIEF COMPLIANCE OFFICER/ PRESIDENT, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f4867b1-74f5-02de-0258-fd8679111b2b
First observed: Mar 16, 2012
Last observed: Feb 5, 2016 129 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.