O•••• V••• A•••••••

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

$54.0M••• Locked

Discretionary RAUM

$53.3M

Private client RAUM

$53.3Mderived••• Locked

Private client share

99%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

2

• Occurred

  Apr 10, 2018
  Succession filed (Item 4)

  O•••• V••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)

  Form ADVobserved 7 days ago
• Occurred

  Dec 7, 2017
  First Form ADV filing

  O•••• V••• A••••••• filed its initial SEC registration (Form ADV)

  Form ADVobserved 7 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:97553c97-98d5-aded-311e-4082ae5963a9

First observed

Dec 7, 2017

Last observed

Jun 4, 2018 101 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.