A•••• C•••••• M••••••••• L••

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

institutional managerderivedprivate_client_share=0.0 fund_share=0.07 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$863M••• Locked

Discretionary RAUM

$863M

Private client RAUM

$1.4Mderived••• Locked

Private client share

0%derivedprivate client RAUM over total RAUM

Advisors on IAPD

5

RAUM per advisor

$173Mderived

• Occurred

  Mar 31, 2023
  Regulatory AUM changed

  A•••• C•••••• M••••••••• L•• reported RAUM $962.0M, down 34% from $1.5B (2022-03-30 to 2023-03-31)

  Form ADVobserved 7 days ago
  $-497M
• Occurred

  Mar 30, 2021
  Regulatory AUM changed

  A•••• C•••••• M••••••••• L•• reported RAUM $1.3B, down 30% from $1.9B (2020-07-07 to 2021-03-30)

  Form ADVobserved 7 days ago
  $-564M
• Occurred

  Jun 25, 2014
  Succession filed (Item 4)

  A•••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)

  Form ADVobserved 7 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8132748f-b0b9-7554-0f47-d05b146b8ffa

First observed

Feb 1, 2012

Last observed

Mar 18, 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.