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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

T•• M•• G••••• I•••

CRD 107718

MORRISTOWN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85b60f99-230e-11c4-761a-be4251a96a52

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Mar 31, 2015
6 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: $1.3BItem 5.F on the latest filing (2015-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• E•••• R•••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2008	Mar 21, 2012	Mar 31, 2015
E•••••• M•••••••• D•••••	STRATEGIC ADVISOR	E	yes	08/1987	Mar 21, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$473M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$1.3B	$1.5B	-16.0%	$1.3B	-1.2%	14	14	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••• T••••	2	Dec 31, 2015	Jun 17, 2013	MORRISTOWN, NJ	Team lift out	Other	33.3%
B••••• T••••	3	Dec 31, 2015

Relationships

Affiliated with (1)

→ B••••• T••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (3)

← E•••••• M•••••••• D•••••OwnerSTRATEGIC ADVISOR, ownership code E, individual
Mar 21, 2012 to presentfactForm ADV
← M••••• G••••• A•••OwnerPRESIDENT, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← C••••••••• E•••• R•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85b60f99-230e-11c4-761a-be4251a96a52
First observed: Mar 21, 2012
Last observed: Mar 31, 2015 139 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.