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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$5.1MItem 5.F on the latest filing (2013-03-11); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$5.1M

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

1

Advisory employees

1

Accounts

156

SEC number

801-63963

CRD

113380

Filings on the tape

6

First filed

Jul 3, 2012

Latest filed

Mar 11, 2013

Organised

Limited Liability Company, New York

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6d9bcadd-e8f6-7078-66e8-d10a1afa592a

First observed

Jul 3, 2012

Last observed

Mar 11, 2013 164 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.