DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

F•••••••• N•••••• S••••••••• L••

CRD 109037

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Search this name across graphsid dfx:ria:89a990d9-df81-10ed-45ef-1cfe86fe574c

Data as of Feb 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Jan 30, 2012 to Feb 4, 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $130M••• Locked
Discretionary RAUM: $109M
Private client RAUM: $130Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• M•••••••• D••	PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	05/1997	Jan 30, 2012	Mar 8, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 4, 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	$130M	$115M	12.7%	n/a	n/a	1	1	0	0

Relationships

Controls (1)

← M•••••• M•••••••• D••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 30, 2012 to Mar 8, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89a990d9-df81-10ed-45ef-1cfe86fe574c
First observed: Jan 30, 2012
Last observed: Feb 4, 2026 7 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.