DFX Intelligence

R••••••• C••••• O••••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

R••••••• C••••• O••••••••• M••••••••• L••

CRD 226742

NEW YORK, NY

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Search this name across graphsid dfx:ria:78b5148e-b325-da6c-5ec5-42c736e5736f

Data as of Jun 10, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jun 10, 2015 to Jun 10, 2015
1 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 10
Advisory employees: 3
Accounts: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••• D••••	MANAGING DIRECTOR	Na	yes	05/2015	Jun 10, 2015	Jun 10, 2015
P••••• D••••••• V•••••	CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	05/2015	Jun 10, 2015	Jun 10, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• C••••• P•••••••• L••	n/a	Asset manager	$62B	N	yes	n/a
I••••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$398M	N	yes	n/a

Relationships

Affiliated with (3)

→ R•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ C•• C••••• P•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ I••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (5)

← J•••••• D••••Owner

Dated events

Occurred
Jun 10, 2015
First Form ADV filing
R••••••• C••••• O••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78b5148e-b325-da6c-5ec5-42c736e5736f
First observed: Jun 10, 2015
Last observed: Jun 10, 2015 137 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.