DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

A•••• A•••• C••••••••• L••

CRD 122659

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Search this name across graphsid dfx:ria:9137e970-48bc-9072-b972-46482f33a623

Data as of Mar 24, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2012 to Mar 24, 2025
16 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••• S•••••• R••••	President	E	yes	07/2002	Mar 26, 2012	Mar 22, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 24, 2025	$0	$0	1	1	0	n/a	n/a
2023	Mar 22, 2024

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	$0	n/a	n/a	n/a	n/a	1	1	0	0

Relationships

Controls (1)

← J•••••• S•••••• R••••OwnerPRESIDENT, ownership code E, individual
Mar 26, 2012 to Mar 22, 2024factForm ADV

Dated events

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

Show 1 bookkeeping events

Occurred
Jan 2, 2026
A•••• A•••• C••••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9137e970-48bc-9072-b972-46482f33a623
First observed: Mar 26, 2012
Last observed: Mar 24, 2025 18 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.