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

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

N•• A•••••••• P••••••• L••

CRD 105462

NEW YORK, NY

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Data as of Feb 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 to Feb 25, 2019
17 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: $316M••• Locked
Discretionary RAUM: $316M
Private client RAUM: $138Mderived••• Locked
Private client share: 44%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• M•••••••• R•••••	MEMBER, MANAGER, CCO	D	yes	01/1986	Mar 20, 2012	Feb 25, 2019
P••••• N••••••••• H•	MEMBER, SENIOR PORTFOLIO MANAGER	C	yes	04/1996	Mar 20, 2012	Feb 25, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$316M	$512M	-38.3%	$987M	-31.6%	10	10	0	0

Relationships

Controls (2)

← P••••• N••••••••• H•OwnerMEMBER, SENIOR PORTFOLIO MANAGER, ownership code C, individual
Mar 20, 2012 to presentfactForm ADV
← C••••••• M•••••••• R•••••OwnerMEMBER, MANAGER, CCO, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV

Owns (3)

← S••••• R•••••• E••••OwnerHEAD OF OPERATIONS, ownership code NA, individual
Mar 8, 2018 to presentfactForm ADV
← H••••••• J•••• F••••OwnerMEMBER, ownership code NA, individual

Dated events

Occurred
Feb 25, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-196M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 20, 2012
Last observed: Feb 25, 2019 92 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.