DFX Intelligence

P•••• C•••••• 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

P•••• C•••••• P••••••• ••••••• L••••••

CRD 163636

ST. HELIER

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Search this name across graphsid dfx:ria:98ee65f7-a057-7f74-81b4-6d127c0c3b05

Data as of Oct 26, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Sep 14, 2018 to Oct 26, 2018
2 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: $476M••• Locked
Discretionary RAUM: $476M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• L••••	VICE PRESIDENT	Na	yes	04/2015	Sep 14, 2018	Oct 26, 2018
M••••••• J•••• B•••••••	President	Na	yes	03/2012	Sep 14, 2018	Oct 26, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• C•••••• L••	n/a	Asset manager	$43B	N	yes	n/a
P•••• C•••••• •••••••• C•••••••••	n/a	Asset manager	$656M	Y	yes	n/a

Relationships

Affiliated with (5)

← P•••••••• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ P•••• C••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ P•••• C•••••• •••••••• C•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ P•••• C•••••• ••••••• S••Registered adviser

Dated events

Occurred
Sep 14, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98ee65f7-a057-7f74-81b4-6d127c0c3b05
First observed: Sep 14, 2018
Last observed: Oct 26, 2018 96 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.