DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S••••••• C••••••••• I••••••••• T••••••••• C•• L•••

CRD 282749

S•••••••

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Search this name across graphsid dfx:ria:a6d790b1-38f7-7e74-a7a8-14dc8298e589

Data as of Mar 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 22, 2016 to Mar 2, 2018
5 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• Y••••••• N••	Member	D	yes	12/2015	Feb 22, 2016	Mar 2, 2018
Z••••• H•••• N••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	C	yes	12/2015	Feb 22, 2016	Mar 2, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Apr 3, 2017	$0	$0	1	1	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$0	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Controls (2)

← Z••••• H•••• N••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code C, individual
Feb 22, 2016 to presentfactForm ADV
← C••• Y••••••• N••OwnerMEMBER, ownership code D, individual
Feb 22, 2016 to presentfactForm ADV

Dated events

Occurred
Feb 22, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6d790b1-38f7-7e74-a7a8-14dc8298e589
First observed: Feb 22, 2016
Last observed: Mar 2, 2018 104 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.