DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

H•••••• F•••• C•••••• L••

CRD 333306

H•••••• F••••, NY

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Search this name across graphsid dfx:ria:865e9bff-7a04-28f0-08d6-cc3b22492151

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2025 to May 18, 2026
4 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $67.0M••• Locked
Discretionary RAUM: $67.0M
Private client RAUM: $66.0Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• R•••• L•••••	Member	E	yes	09/2024	May 18, 2026	May 18, 2026
W•••••••• T•••••• P•••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2024	May 18, 2026	May 18, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

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	$67.0M	$0	n/a	n/a	n/a	2	2	0	0

Relationships

Controls (2)

← S•••••• R•••• L•••••OwnerMEMBER, ownership code E, individual
May 18, 2026 to presentfactForm ADV
← W•••••••• T•••••• P•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 18, 2026 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:865e9bff-7a04-28f0-08d6-cc3b22492151
First observed: Feb 3, 2025
Last observed: May 18, 2026 4 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.