DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

I••••••••• I•••

CRD 285955

NEW YORK, NY

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Search this name across graphsid dfx:ria:802ac0f9-93fe-013f-16d8-8d203379ea60

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Mar 8, 2017 to Mar 19, 2026
23 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $26.2M••• Locked
Discretionary RAUM: $26.2M
Private client RAUM: $26.2Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•• T••••	Shareholder	A	yes	06/2018	Dec 21, 2018	Nov 11, 2024
S••••••••• B•••••••••	CHIEF EXECUTIVE AND CHIEF COMPLIANCE OFFICER	C	yes	01/2019	Mar 8, 2017	Nov 11, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026

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	$26.2M	n/a	n/a	$29.0M	-3.4%	17	n/a	2	n/a

Relationships

Registered with (1)

← J••• C••••• G•••••• Z•••••••Advisorregistration: previous registration
May 13, 2025 to Aug 29, 2025factForm ADV

Controls (4)

← S•••• A••••• A••OwnerTRUSTEE, ownership code F, individual
Mar 8, 2017 to Nov 11, 2024factForm ADV
← S••••••••• B•••••••••OwnerCHIEF EXECUTIVE AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 8, 2017 to Nov 11, 2024factForm ADV
← S•••• J•••••••Owner

Dated events

Occurred
Aug 29, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 8, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:802ac0f9-93fe-013f-16d8-8d203379ea60
First observed: Mar 8, 2017
Last observed: Mar 19, 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.