DFX Intelligence

F•••••••• P••••••• • C••••••••• S•••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

F•••••••• P••••••• • C••••••••• S•••••••• I••

CRD 112440

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Search this name across graphsid dfx:ria:9fe1c49d-36f7-d506-cc71-08df66fe445d

Data as of Dec 18, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 23, 2012 to Dec 18, 2018
9 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: $157M••• Locked
Discretionary RAUM: $157M
Private client RAUM: $86.9Mderived••• Locked
Private client share: 55%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••• J•••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	01/1992	Jan 23, 2012	Dec 18, 2018
P••••••• K••••••• V•	OFFICE MANAGER	B	no	06/1992	Dec 18, 2018	Dec 18, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2015	$157M	$129M	22.1%	$137M	4.6%	1	2	1	n/a

Relationships

Controls (1)

← P••••••• J•••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 23, 2012 to presentfactForm ADV

Owns (1)

← P••••••• K••••••• V•OwnerOFFICE MANAGER, ownership code B, individual
Dec 18, 2018 to presentfactForm ADV

Dated events

Occurred
Dec 18, 2018
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9fe1c49d-36f7-d506-cc71-08df66fe445d
First observed: Jan 23, 2012
Last observed: Dec 18, 2018 94 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.