DFX Intelligence

1•• W•••••••• A•••••••• L•••: 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

1•• W•••••••• A•••••••• L•••

CRD 133225

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:7e54b333-245f-faf5-1419-01fbfeb9e976

Data as of Jul 2, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2011 to Jul 2, 2013
10 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: $29.3M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
1•• W•••••••• P•••••••• L•••	OWNER OF CLASS A AND B SHARES	E	yes	10/2004	Nov 9, 2011	Jul 2, 2013
D••••••• D•••••• J•••••	SHAREHOLDER - CLASS A AND CLASS B	C	yes	10/2004	Mar 19, 2012	Jul 2, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
1•• W•••••••• F•••••••• P•••••••• L••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Lavallette	Nj	United States	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	$29.3M	$28.5M	2.6%	n/a	n/a	5	n/a	n/a	n/a

Relationships

Controls (4)

← D••••••• D•••••• J•••••OwnerSHAREHOLDER - CLASS A AND CLASS B, ownership code C, individual
Mar 19, 2012 to presentfactForm ADV
← M••••••• J•••• F••••••OwnerSHAREHOLDER - CLASS A AND B/MANAGING MEMBER, ownership code C, individual
Nov 9, 2011 to presentfactForm ADV
← R•••••••• W••••••• L••••OwnerMANAGING MEMBER/SHAREHOLDER, ownership code C, individual
Nov 9, 2011 to presentfactForm ADV
← 1•• W•••••••• P•••••••• L•••OwnerOWNER OF CLASS A AND B SHARES, ownership code E, domestic entity
Nov 9, 2011 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e54b333-245f-faf5-1419-01fbfeb9e976
First observed: Nov 9, 2011
Last observed: Jul 2, 2013 161 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.