DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

L••••••••• I••••••••• L••

CRD 299608

LAKEWOOD, NJ

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Search this name across graphsid dfx:ria:7afab657-2ded-60e0-7397-618f5b24fe4f

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 1
Observed: Mar 11, 2024 to Mar 12, 2026
5 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

L••••••••• I••••••••• L••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.02 fund_share=0.0 institutional_share=0.98 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $170M••• Locked
Discretionary RAUM: $113M
Private client RAUM: $3.1Mderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $84.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E•••••• F••••	n/a	LAKEWOOD, NJ	7	19	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• E••••••	SOLE OWNER / SOLE EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER	E	yes	10/2018	Mar 11, 2024	Oct 31, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 12, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$170M	$157M	8.1%	n/a	n/a	3	2	0	0

Relationships

Registered with (2)

← NINA SHAWAdvisorregistration: current employment
Feb 28, 2022 to presentfactForm ADV
← E•••••• F••••Advisorregistration: current employment
Feb 13, 2019 to presentfactForm ADV

Controls (1)

← F••••• E••••••OwnerSOLE OWNER / SOLE EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 11, 2024 to Oct 31, 2024factForm ADV

Dated events

Occurred
Mar 11, 2024
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7afab657-2ded-60e0-7397-618f5b24fe4f
First observed: Mar 11, 2024
Last observed: Mar 12, 2026 6 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.