DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

F••••••••• M••••••••• O•••••• L••

CRD 332017

NEW CANAAN, CT

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Search this name across graphsid dfx:ria:829f5efc-f55d-7580-383a-631ea04d8822

Data as of Aug 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 2
On other graphs: 0
Observed: Aug 7, 2024 to Aug 7, 2024
1 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• C••••••• L••	Member	C	yes	02/2024	Aug 7, 2024	Aug 7, 2024
A••••••• V•••••••• L••	Member	C	yes	02/2024	Aug 7, 2024	Aug 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••••• A•• L••	n/a	Asset manager	$1.3B	N	yes	n/a
F••••••••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$1.0B	N	yes	n/a

Relationships

Affiliated with (4)

→ F••••••••• A•••••••Registered adviserother investment adviser, common control
factForm ADV
→ E••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ O••••••• C•• L••Registered adviserother investment adviser, common control
factForm ADV
→ F••••••••• R••••••••• S•••••••Registered adviserother investment adviser, common control

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
••• Locked
Form ADVobserved 8 days ago
0 USD_RAUM
Occurred
Aug 7, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:829f5efc-f55d-7580-383a-631ea04d8822
First observed: Aug 7, 2024
Last observed: Aug 7, 2024 25 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.