DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

G•••••• F•••••••• C••••

CRD 126593

NEW YORK, NY

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Search this name across graphsid dfx:ria:71d78e34-98a7-a30d-f63a-1728f926b85d

Data as of Oct 15, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Oct 15, 2015
12 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: $80.7M••• Locked
Discretionary RAUM: $60.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• S••••••••• I•••••••••	Shareholder	E	yes	01/1999	Mar 30, 2012	Oct 15, 2015
S••••• B•••••• J••• E••••••	DIRECTOR, COO, CFO,	Na	yes	01/1999	Mar 30, 2012	Oct 15, 2015

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Morristown	Nj	United States	n/a	no
Melville	NY	United States	n/a	no
NEW HARTFORD	NY	United States	n/a	no
NY	NY	United States	n/a	no
WESTHAMPTON BEACH	NY	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$80.7M	$62.1M	30.0%	$94.7M	-5.2%	22	26	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•••••• A••••••• L••	2	Oct 27, 2015	Feb 2, 2016	NEW YORK, NY	Team lift out	Other	66.7%
A••••••••• F•••••••• S•••••••• L••	2	Sep 23, 2015	Sep 9, 2015

Relationships

Controls (3)

← W••••••••• R••••OwnerDIRECTOR, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← S••••• B•••••• J••• E••••••OwnerDIRECTOR, COO, CFO,, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← G•••••• S••••••••• I•••••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Moved with (2)

→ T•••••• A••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:71d78e34-98a7-a30d-f63a-1728f926b85d
First observed: Mar 30, 2012
Last observed: Oct 15, 2015 133 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.