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T•• L••• H••••••• 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

T•• L••• H••••••• L••••••

CRD 284817

NEW YORK, NY

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Data as of Jan 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 6, 2016 to Jan 30, 2017
6 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: $27.5M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• G•••••• A••••••	OWNER AND PARTNER	D	yes	09/2016	Sep 20, 2016	Jan 30, 2017
Z••••• W•••••• •• M••••• N••••	OWNER, PARTNER AND CHIEF COMPLIANCE OFFICER	D	yes	09/2016	Sep 12, 2016	Jan 30, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Jan 30, 2017	$27.5M	$0	2	2	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
2016	$27.5M	n/a	n/a	n/a	n/a	2	n/a	n/a	n/a

Relationships

Controls (2)

← Z••••• W•••••• •• M••••• N••••OwnerOWNER, PARTNER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Sep 12, 2016 to presentfactForm ADV
← D••••••••• G•••••• A••••••OwnerOWNER AND PARTNER, ownership code D, individual
Sep 20, 2016 to presentfactForm ADV

Registered with (1)

← W••••• N•• Z••••Advisorregistration: previous registration
Dec 19, 2016 to Oct 24, 2017factForm ADV

Dated events

Occurred
Sep 6, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 6, 2016
Last observed: Jan 30, 2017 117 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.