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.

Firm class

independent wealth managerderivedprivate_client_share=0.78 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$322MItem 5.F on the latest filing (2026-03-16); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$296M

Private client RAUM

$251MderivedItem 5.D individuals plus high net worth individuals

Private client share

78%derivedprivate client RAUM over total RAUM

Advisors on IAPD

4

RAUM per advisor

$80.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

5

Advisory employees

4

Offices

1Schedule D 1.F, beyond the principal office

Accounts

105

Individual clients

5

High net worth clients

50

SEC number

801-67284

CIK

1388028

CRD

142414

Filings on the tape

22

First filed

Feb 24, 2012

Latest filed

Mar 16, 2026

Organised

Limited Liability Company, NY

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a79c0bdc-2d18-e9d3-7ae0-0dde8bc26c8e

First observed

Feb 24, 2012

Last observed

Mar 16, 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.