DFX Intelligence

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

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

A•••• • F•••••••• P•••••••• L••

CRD 110709

POUGHKEEPSIE, NY

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Search this name across graphsid dfx:ria:80e09e8d-6651-5361-38e6-1f806f7299c4

Data as of Mar 12, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 125
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2012 to Mar 12, 2014
11 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: $317M••• Locked
Discretionary RAUM: $317M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 90
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• C•••••• I•••	Owner	E	yes	04/1999	Apr 20, 2012	Mar 12, 2014
G••••••••• I•••• H•••	CHIEF FINANCIAL OFFICER	Na	yes	05/2013	Jun 3, 2013	Mar 12, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••• A•••• M••••••••• I•••	n/a	Bd affiliated wealth	$4.2B	N	yes	n/a
N••••••• S••••••••• C•••••••••	n/a	n/a	n/a	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Tampa	FL	United States	n/a	no
GLEN BURNIE	Md	United States	n/a	no
Flushing	NY	United States	n/a	no
LAKE RONKONKOMA	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Oct 1, 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
2013	$317M	$456M	-30.5%	n/a	n/a	90	n/a	n/a	n/a

Relationships

showing 80 of 125

Affiliated with (1)

→ B• R•••• W••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (5)

← G••••••••• I•••• H•••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 3, 2013 to presentfactForm ADV
← N••••••••• A••• A••OwnerPRESIDENT, ownership code NA, individual
Apr 20, 2012 to presentfactForm ADV
← M••••• G••••••• M••••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80e09e8d-6651-5361-38e6-1f806f7299c4
First observed: Apr 20, 2012
Last observed: Mar 12, 2014 152 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.