DFX Intelligence

P•• G•••••• F•••••• S•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

P•• G•••••• F•••••• S•

CRD 110570

PARIS

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Search this name across graphsid dfx:ria:703965be-510b-f1d0-7777-6a32a7c7e60a

Data as of May 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to May 29, 2012
2 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: $716M••• Locked
Discretionary RAUM: $716M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 9
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••••• B•••••••	PRESIDENT AND DIRECTOR	C	yes	08/2009	Mar 29, 2012	May 29, 2012
R•••• M•••••	DIRECTOR, MANAGING DIRECTOR, AND SHAREHOLDER	C	yes	07/1998	Mar 29, 2012	May 29, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• I••••••••• A••••••• L••	n/a	Independent wealth	$771M	N	no	n/a
P••••••• I••••••••• M••••••••• I••	n/a	Former SEC adviser	$132M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$716M	$716M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$716M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ S•••••••• I••••••••• A••••••• L••Registered adviserother investment adviser
factForm ADV
→ F••••••••• A•••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Owns (9)

← P•• G•••••• F•••••• S•OwnerSHAREHOLDER, ownership code A, foreign entity
Mar 29, 2012 to presentfactForm ADV
← K••••• G••••••• L••OwnerDIRECTOR AND SHAREHOLDER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:703965be-510b-f1d0-7777-6a32a7c7e60a
First observed: Mar 29, 2012
Last observed: May 29, 2012 174 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.