DFX Intelligence

S•••••• O• A••••• W••••• 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

S•••••• O• A••••• W••••• M••••••••• L••

CRD 285925

NEW YORK, NY

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Search this name across graphsid dfx:ria:6980744c-6d49-4889-452f-2ad8c555a4a9

Data as of Jul 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Nov 16, 2016 to Jul 21, 2020
16 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: $675M••• Locked
Discretionary RAUM: $648M
Private client RAUM: $675Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• C••••••••• S••	Member	C	yes	01/2017	Nov 16, 2016	Jul 21, 2020
H•••••• C••••••	MEMBER, CCO	C	yes	01/2017	Nov 16, 2016	Jul 21, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• O• A••••• I•••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WHITE PLAINS	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 23, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$675M	$571M	18.3%	n/a	n/a	18	16	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••• O• A••••• W••••• M•••••••••	7	Nov 2, 2020	Nov 13, 2020	NEW YORK, NY	Firm absorbed	RIA to new firm	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• F•••••••• S•••••••• L••	6	Jan 9, 2017	Jul 29, 2019	NEW YORK, NY	Team lift out	Ibd to new firm	0.1%

Relationships

Controls (3)

← H•••••• C••••••OwnerMEMBER, CCO, ownership code C, individual
Nov 16, 2016 to presentfactForm ADV
← C••••••••• C••••••••• S••OwnerMEMBER, ownership code C, individual
Nov 16, 2016 to presentfactForm ADV
← W••••• M••••••• A••••••••OwnerMEMBER, ownership code B, individual
Nov 16, 2016 to presentfactForm ADV

Moved with (2)

→ S•••••• O• A••••• W••••• M•••••••••Registered adviser7 advisors, firm absorbed, same day

Dated events

Occurred
Nov 16, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6980744c-6d49-4889-452f-2ad8c555a4a9
First observed: Nov 16, 2016
Last observed: Jul 21, 2020 75 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.