DFX Intelligence

R•• C• F••• P•••••••• 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

R•• C• F••• P•••••••• L••

CRD 298853

NEW YORK, NY

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Search this name across graphsid dfx:ria:7191fb5f-8b83-6e00-b1f8-f7791f88b86d

Data as of Mar 2, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 5
On other graphs: 0
Observed: Sep 21, 2018 to Mar 2, 2020
8 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: $461M••• Locked
Discretionary RAUM: $461M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J•••• C•••••••••	BOARD MEMBER	Na	yes	08/2018	Sep 21, 2018	Mar 2, 2020
D••••••• R••••••• P••••••	CHIEF FINANCIAL OFFICER	Na	yes	03/2019	Mar 21, 2019	Mar 2, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• C•••••• M••••••• L••	n/a	National bd RIA	$310B	N	yes	n/a
R•••• B••• O• C•••••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 2, 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
2019	$461M	$479M	-3.7%	n/a	n/a	5	5	0	0

Relationships

Affiliated with (1)

→ R•• C•••••• M••••••• L••Registered adviserother investment adviser, broker-dealer, trust company, LP sponsor, common control
factForm ADV

Controls (9)

← W•••• E•••• S•••••OwnerBOARD MEMBER, ownership code NA, individual
Sep 21, 2018 to presentfactForm ADV
← R••••••••• J•••• R••••••OwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, BOARD MEMBER, ownership code NA, individual
Jan 28, 2019 to presentfactForm ADV
← C••••••• J•••• C•••••••••Owner

Dated events

Occurred
Mar 21, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 21, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 28, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 28, 2019
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7191fb5f-8b83-6e00-b1f8-f7791f88b86d
First observed: Sep 21, 2018
Last observed: Mar 2, 2020 79 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.