DFX Intelligence

G•••••••• W••••• A••••••• 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

G•••••••• W••••• A••••••• L••

CRD 126020

RYE BROOK, NY

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Search this name across graphsid dfx:ria:6f3880b8-f5c0-86d3-772f-6b908faf796e

Data as of Jun 22, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Mar 27, 2012 to Jun 22, 2021
23 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: $313M••• Locked
Discretionary RAUM: $296M
Private client RAUM: $303Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• T•••••• W•••	Member	B	yes	01/2013	Mar 20, 2014	Jun 22, 2021
C••••• T••••••• R••••	Member	E	yes	12/2006	Mar 27, 2012	Jun 22, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2020	$313M	$288M	8.4%	$211M	14.1%	4	3	5	4

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• W••••• M••••••••• L••	2	Jan 3, 2022	Jan 3, 2022	RYE, NY	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← C••••• T••••••• R••••OwnerMEMBER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV
← A••••••• T•••••• W•••OwnerMEMBER, ownership code B, individual
Mar 20, 2014 to presentfactForm ADV

Moved with (1)

→ M••••• W••••• M••••••••• L••Registered adviser2 advisors, team lift out, same day
Jan 3, 2022 to Jan 3, 2022factForm ADV

Registered with (3)

Dated events

Occurred
Jan 3, 2022
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Jan 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f3880b8-f5c0-86d3-772f-6b908faf796e
First observed: Mar 27, 2012
Last observed: Jun 22, 2021 63 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.