DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

G•••••• N•••• I•••

CRD 138702

NEW YORK, NY

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Search this name across graphsid dfx:ria:79857802-c332-ad27-b5c7-107b15fe7172

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Mar 27, 2013
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: $598M••• Locked
Discretionary RAUM: $598M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• R••••• L•••	MANAGING PRINCIPAL	E	yes	10/1997	Mar 27, 2012	Mar 27, 2013
S••••• S••••••• K•••	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	02/2009	Mar 27, 2012	Mar 27, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• L•••	n/a	Former SEC adviser	$375M	Y	yes	n/a
G•••••• I••••••••• L•••	n/a	n/a	n/a	Y	yes	n/a
G•••••• I••••••••• S••••• L•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Preston	Mn	United States	n/a	no
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 27, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$598M	$531M	12.7%	n/a	n/a	13	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ G•••••• L•••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (2)

← H•••••••• R••••• L•••OwnerMANAGING PRINCIPAL, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV
← S••••• S••••••• K•••OwnerCHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79857802-c332-ad27-b5c7-107b15fe7172
First observed: Mar 27, 2012
Last observed: Mar 27, 2013 164 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.