DFX Intelligence

S•• F•••••••• A••••••• M••••••••• E••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

S•• F•••••••• A••••••• M••••••••• E••••••••• I••

CRD 112130

WASHINGTON, DC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:768f5d04-01fb-dd01-1e2c-18ea667acf47

Data as of Sep 10, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2012 to Sep 10, 2012
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: $45.4M••• Locked
Discretionary RAUM: $44.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 89

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• N••••• E••••••••• I•••	PARENT COMPANY	E	yes	10/2007	Jan 5, 2012	Sep 10, 2012
L••• N••••• W•••••••• I•••	PARENT COMPANY	E	yes	10/2007	Jan 5, 2012	Sep 10, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 15, 2012	$51.0M	$48.9M	n/a	n/a	n/a	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
2011	$45.4M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (6)

← W••••••• E••••••••• K•••••••OwnerEVP/CAO/ASSISTANT SECRETARY, ownership code NA, individual
Jan 5, 2012 to presentfactForm ADV
← M••••• E•••••• S••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 5, 2012 to presentfactForm ADV
← R•••••• M••••••OwnerCEO/PRESIDENT, ownership code NA, individual
Jan 5, 2012 to presentfactForm ADV
← R•••••••• A•••• B••••OwnerEVP/CFO/SECRETARY, ownership code NA, individual
Jan 5, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:768f5d04-01fb-dd01-1e2c-18ea667acf47
First observed: Jan 5, 2012
Last observed: Sep 10, 2012 170 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.