DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N••• U••••••• L••

CRD 282681

NEW YORK, NY

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Search this name across graphsid dfx:ria:a6731a21-54bd-33ce-2313-f9ddc4ac167e

Data as of Jun 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2016 to Jun 28, 2016
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: $2.3M••• Locked
Discretionary RAUM: $2.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 93
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• D••••• T••••••	EXECUTIVE CHAIRMAN	Na	yes	12/2015	Jan 29, 2016	Jun 28, 2016
H•••• D••••• A••	CHIEF FINANCIAL OFFICER	Na	yes	12/2015	Jan 29, 2016	Jun 28, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••• U• L••	n/a	Former SEC adviser	$24B	N	yes	n/a
T••••••• H••••••• L••	n/a	INSTITUTIONAL_M••••••	$20B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	n/a	no
Pembroke	n/a	Bermuda	n/a	no
Senningerberg	n/a	Luxembourg	n/a	no

Relationships

Affiliated with (3)

→ S••••••• G•••• I••Registered adviserother investment adviser, common control
factForm ADV
→ T••••••• H••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ N••••••••• N•••••••• A•••• M••••••••• G••••Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← H•••••••• D••••• T••••••Owner

Dated events

Occurred
Jan 29, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6731a21-54bd-33ce-2313-f9ddc4ac167e
First observed: Jan 29, 2016
Last observed: Jun 28, 2016 124 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.