DFX Intelligence

C•••• I••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••• I••••• A••••••• L••

CRD 292058

DARIEN, CT

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Search this name across graphsid dfx:ria:7597b55f-1d04-abd3-7367-6afd4576a40c

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 3
On other graphs: 0
Observed: Jan 17, 2018 to Mar 31, 2023
10 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $453M••• Locked
Discretionary RAUM: $453M
Private client RAUM: $453Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• A•••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	11/2017	Jan 17, 2018	Mar 31, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Hicksville	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 31, 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
2022	$453M	$523M	-13.3%	$445M	0.6%	1	1	1	1

Relationships

Controls (1)

← C••••••• A•••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 17, 2018 to presentfactForm ADV

Dated events

Occurred
Jan 28, 2022
Regulatory AUM changed
C•••• I••••• A••••••• L•• reported RAUM $522.5M, up 31% from $398.2M (2021-03-24 to 2022-01-28)
Form ADVobserved 7 days ago
$124M
Occurred
Mar 28, 2019
Regulatory AUM changed
C•••• I••••• A••••••• L•• reported RAUM $376.0M, up 262% from $104.0M (2018-06-07 to 2019-03-28)
Form ADVobserved 7 days ago
$272M
Occurred
Jan 17, 2018
First Form ADV filing
C•••• I••••• A••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7597b55f-1d04-abd3-7367-6afd4576a40c
First observed: Jan 17, 2018
Last observed: Mar 31, 2023 42 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.