DFX Intelligence

K• A••••••• S•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

K• A••••••• S•••••••

H••••••• J•••• P•••, CRD 107524

VICTOR, NY

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Search this name across graphsid dfx:ria:87ff9491-f417-06c2-c935-3a334ec272f5

Data as of Mar 22, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2012 to Mar 22, 2021
21 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: $172M••• Locked
Discretionary RAUM: $172M
Private client RAUM: $172Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• J•••• P•••	OWNER AND CHIEF COMPLIANCE OFFICER	E	yes	03/2020	Mar 26, 2012	Mar 22, 2021
H••••••• J•••• P•••	OWNER AND CHIEF COMPLIANCE OFFICER	E	yes	03/2020	Mar 26, 2012	Mar 22, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••••• A••••••• G•••• L••	n/a	Independent wealth	$216M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$172M	$168M	2.7%	$134M	8.8%	4	1	0	0

Relationships

Affiliated with (1)

→ P••••••••• A••••••• G•••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← H••••••• J•••• P•••OwnerOWNER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 26, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 26, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87ff9491-f417-06c2-c935-3a334ec272f5
First observed: Mar 26, 2012
Last observed: Mar 22, 2021 67 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.