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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$148MItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$148M

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

8

Advisory employees

6

Offices

0Schedule D 1.F, beyond the principal office

Accounts

2

Private funds

2Schedule D 7.B(1)

Private fund GAV

$148Mgross asset value as reported per fund; never fund size

Custody, client assets

$148M

SEC number

801-70310

CRD

150556

Filings on the tape

20

First filed

Mar 29, 2012

Latest filed

Mar 31, 2022

Organised

Limited Liability Company, Delaware

• Occurred

  Jul 30, 2021
  Control person joined

  Ann Michele Chirico (Chief Compliance Officer) appeared on Schedule A of Nuwave Investment Management, Llc

  Form ADVobserved 6 days ago
• Occurred

  Jul 30, 2021
  Control person left

  Alan Craig Weynand (Chief Compliance Officer/Chief Operating Officer) no longer on Schedule A of Nuwave Investment Management, Llc (listed 2021-03-29, absent 2021-07-30)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8fac207e-ffcc-f30e-e8dc-e719f04ca1ec

First observed

Mar 29, 2012

Last observed

Mar 31, 2022 54 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.