DFX Intelligence

G••••••• I••••••••• A•••• 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

G••••••• I••••••••• A•••• M••••••••• L••

CRD 318405

JERSEY CITY, NJ

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Search this name across graphsid dfx:ria:70751825-15f7-1209-4b0d-896a285b0c45

Data as of May 14, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Jan 25, 2022 to May 14, 2024
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: $151M••• Locked
Discretionary RAUM: $151M
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
A•••••• C•••••• M•••••	Owner	D	yes	03/2017	Sep 12, 2023	May 14, 2024
A•••••• C•••••• M•••••	Owner	D	yes	03/2017	Sep 12, 2023	May 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••••• I••••••••• L••	n/a	Former SEC adviser	$329M	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Sep 12, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$151M	$136M	11.3%	n/a	n/a	2	3	0	0

Relationships

Affiliated with (2)

→ G••••••• I••••••••• L••Registered adviserother investment adviser, control
factForm ADV
← G••••••• I••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (9)

← G••••••• I••••••••• L••OwnerOWNER, ownership code E, domestic entity
Sep 12, 2023 to presentfactForm ADV
← S••••••• R••• A•••• M••••••••• L••Owner

Dated events

Occurred
Sep 12, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 12, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 12, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 12, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70751825-15f7-1209-4b0d-896a285b0c45
First observed: Jan 25, 2022
Last observed: May 14, 2024 28 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.