DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••••••• L••

CRD 304350

BROOKLYN, NY

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Search this name across graphsid dfx:ria:9de7a890-073b-f28c-5ecd-edc8416cb307

Data as of Apr 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 1
Observed: May 22, 2019 to Apr 14, 2026
23 observations

Across DFX

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

Private Equityidentity

E••••••• L••

Intermediary · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.51 fund_share=0.0 institutional_share=0.46 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $566M••• Locked
Discretionary RAUM: $541M
Private client RAUM: $288Mderived••• Locked
Private client share: 51%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $113Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• L•••• S•••••	n/a	Brooklyn, NY \| New York, NY	5	38	1	no
A••• P•••••	Chartered Financial Analyst	BROOKLYN, NY	5	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• J••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2019	May 22, 2019	Feb 21, 2024
P•••••• A•••	CHIEF INVESTMENT OFFICER / FOUNDER	C	yes	05/2019	May 22, 2019	Feb 21, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 14, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$566M	$397M	42.7%	$342M	18.2%	5	6	2	0

Relationships

Registered with (5)

← J•••• Y• H•••••••••Advisorregistration: current employment
Nov 23, 2021 to presentfactForm ADV
← Z••••••• W•••••Advisorregistration: current employment
Sep 4, 2021 to presentfactForm ADV
← A••• P•••••Advisorregistration: current employment
Aug 31, 2021 to presentfactForm ADV
← M••••••• M••••• L•••••

Dated events

Occurred
Mar 19, 2026
Regulatory AUM changed
E••••••• L•• reported RAUM $566.0M, up 43% from $396.7M (2025-04-29 to 2026-03-19)
Form ADVobserved 7 days ago
$169M
Occurred
Apr 13, 2022
Regulatory AUM changed
E••••••• L•• reported RAUM $338.0M, up 128% from $148.0M (2021-02-22 to 2022-04-13)
Form ADVobserved 7 days ago
$190M
Occurred
Jul 21, 2020
Control person joined
Abraham Roth (Founder) appeared on Schedule A of E••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9de7a890-073b-f28c-5ecd-edc8416cb307
First observed: May 22, 2019
Last observed: Apr 14, 2026 5 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.