DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

G•••••••• W••••• A•••••••• L••

CRD 171670

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Search this name across graphsid dfx:ria:85176995-745c-ad13-5833-6aff81140dc9

Data as of Sep 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 15
On other graphs: 0
Observed: Oct 11, 2017 to Sep 1, 2026
38 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= related_bank= bd_reps=0.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $121Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• S•••• L••••••	Certified Financial Planner	Washington, DC	11	20	1	no
P•••••• S••• M••••••	Chartered Financial Analyst	WASHINGTON, DC \| Arlington Heights, IL	10	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• M•••• E•••••	MEMBER & CHIEF COMPLIANCE OFFICER	Na	yes	01/2025	Sep 1, 2026	Sep 1, 2026
G•••••••• H•••••••• I••	Member	E	yes	10/2024	Sep 1, 2026	Sep 1, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

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	$1.3B	$972M	36.9%	$542M	34.9%	32	29	9	6

Relationships

Controls (6)

← J••••••• T••••• L•••OwnerMANAGER, ownership code B, individual
Sep 1, 2026 to presentfactForm ADV
← D••••••• M•••• E•••••OwnerMEMBER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 1, 2026 to presentfactForm ADV
← G•••••••• H•••••••• I••OwnerMEMBER, ownership code E, domestic entity
Sep 1, 2026 to presentfactForm ADV
← L••••••• A•••••• S••••OwnerMANAGER, ownership code NA, individual
Sep 1, 2026 to presentfact

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 1, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Sep 1, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Sep 1, 2026
Ria ownership band change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85176995-745c-ad13-5833-6aff81140dc9
First observed: Oct 11, 2017
Last observed: Sep 1, 2026 22 days 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.