DFX Intelligence

B• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

B• A•••• M••••••••• L••

CRD 152117

NEW YORK, NY

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Search this name across graphsid dfx:ria:90817909-0f1f-33a8-1256-38481744f88f

Data as of Jul 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Nov 25, 2011 to Jul 6, 2026
23 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: $136M••• Locked
Discretionary RAUM: $136M
Private client RAUM: $134Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• E••••• E•• H••••	n/a	NEW YORK, NY	0	29	4	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• C••••••• E••••• E••	MANAGING MEMBER	D	yes	07/2010	Nov 25, 2011	Apr 1, 2024
H••••• C••••••• E••••• E••	MANAGING DIRECTOR, MANAGING MEMBER	Na	yes	07/2010	Nov 25, 2011	Apr 1, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Greenlawn	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$136M	$113M	20.6%	$116M	5.3%	2	2	1	1

Relationships

Affiliated with (2)

← A•••••• FINANCIAL, LLCRegistered adviserother investment adviser, common control
factForm ADV
← A•••••• WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Owns (3)

← S••••••• R•••••• F••••••OwnerCHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 25, 2011 to Apr 1, 2024factForm ADV
← A•••••• H••••••• L••Owner

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 21, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90817909-0f1f-33a8-1256-38481744f88f
First observed: Nov 25, 2011
Last observed: Jul 6, 2026 2 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.