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.

Firm class

asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0

Regulatory AUM

$7.1MItem 5.F on the latest filing (2023-09-29); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$7.1M

Private client RAUM

$0derivedItem 5.D individuals plus high net worth individuals

Private client share

0%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

1

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

1

Private funds

1Schedule D 7.B(1)

Private fund GAV

$12.9Mgross asset value as reported per fund; never fund size

SEC number

801-76370

CRD

161891

Filings on the tape

18

First filed

Apr 2, 2012

Latest filed

Sep 29, 2023

Organised

Limited Liability Company

Graph

RIA / Wealth Management

Canonical id

dfx:ria:7dd5dbbc-b506-4ce9-bfdc-d3b53532b581

First observed

Apr 2, 2012

Last observed

Sep 29, 2023 36 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.