DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

D•••• A••••••••• I••

CRD 108356

BAY SHORE, NY

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Search this name across graphsid dfx:ria:9a9687e4-7a70-1182-0c99-58c9e345dc27

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 2
Observed: Feb 29, 2012 to Mar 24, 2026
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

D•••• A••••••••• I••

Family office · key crd, key sfn adviser, shared crd

Allocatorsidentity

D•••• A•••••••••

Investment consultant · key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 19
Advisory employees: 19
Offices: 2Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• R••••••• E•••	Owner	E	yes	01/1986	Feb 29, 2012	Mar 19, 2024
D••••• W••••••• E•••	Ceo	B	yes	09/2022	Apr 1, 2013	Mar 19, 2024
L••• D••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Franklin	Ma	United States	2	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	19	20	2	2

Relationships

Controls (4)

← D••••• R••••••• E•••OwnerOWNER, ownership code E, individual
Feb 29, 2012 to Mar 19, 2024factForm ADV
← L••• D••••OwnerPRESIDENT, ownership code NA, individual
Apr 1, 2013 to Mar 19, 2024factForm ADV
← D••••• W••••••• E•••OwnerCEO, ownership code B, individual
Apr 1, 2013 to Mar 19, 2024factForm ADV
← M••••••••• G••••••• A•••••OwnerVICE-CHAIRMAN, ownership code NA, individual
Mar 30, 2022 to Mar 19, 2024fact

Dated events

Occurred
Mar 30, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 22, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a9687e4-7a70-1182-0c99-58c9e345dc27
First observed: Feb 29, 2012
Last observed: Mar 24, 2026 6 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.