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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

S••••• A••••••••• L••

CRD 153372

RIDGEFIELD, CT

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Data as of Jan 12, 2015 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2012 to Jan 12, 2015
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $41.0M••• Locked
Discretionary RAUM: $41.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• H•••••• B••••	Member	D	yes	08/2007	Jan 27, 2014	Jan 12, 2015
B•••• K•••••••• A•••	Member	D	yes	08/2007	Jan 27, 2014	Jan 12, 2015

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Jan 12, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$41.0M	$93.2M	-56.0%	$56.8M	-10.3%	7	5	n/a	n/a

Relationships

Controls (5)

← B•••• H•••••• B••••OwnerMEMBER, ownership code D, individual
Jan 27, 2014 to presentfactForm ADV
← D•••••••• J••••• K••••••OwnerMANAGING MEMBER, ownership code E, individual
Jan 25, 2012 to presentfactForm ADV
← L•••• L••••• M••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 25, 2012 to presentfactForm ADV
← R••••• P•••• J•••••OwnerCHIEF OPERATING OFFICER, CFO, ownership code NA, individual
Jan 25, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 25, 2012
Last observed: Jan 12, 2015 142 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.