DFX Intelligence

S•••• C•••• C••••••• 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

S•••• C•••• C••••••• L••

CRD 301857

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Search this name across graphsid dfx:ria:7250e5cf-420c-35c6-3730-27267ab7941b

Data as of Feb 1, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 17, 2019 to Feb 1, 2021
5 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: $748,866••• Locked
Discretionary RAUM: $748,866
Private client RAUM: $748,866derived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• D••••• J•••••	MANAGING PARTNER & CCO	D	yes	03/2019	Apr 17, 2019	Feb 1, 2021
F••• S••••• F•••••••	MANAGING PARTNER	D	yes	03/2019	Apr 17, 2019	Feb 1, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Apr 23, 2020	$748,866	$748,866	2	2	0	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
2019	$748,866	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Controls (2)

← F••••••• D••••• J•••••OwnerMANAGING PARTNER & CCO, ownership code D, individual
Apr 17, 2019 to presentfactForm ADV
← F••• S••••• F•••••••OwnerMANAGING PARTNER, ownership code D, individual
Apr 17, 2019 to presentfactForm ADV

Dated events

Occurred
Apr 17, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7250e5cf-420c-35c6-3730-27267ab7941b
First observed: Apr 17, 2019
Last observed: Feb 1, 2021 68 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.