DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A••••• W••••• M••••••••• L••

CRD 111229

NEW YORK, NY

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Search this name across graphsid dfx:ria:a88613b0-66d6-0779-f3b2-806cd9d50595

Data as of Dec 28, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2012 to Dec 28, 2015
20 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 1
Employees: 2
Advisory employees: 1
SEC number: 801-60239
CRD: 111229
Filings on the tape: 20
First filed

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••••••• A••••••• A••••••	n/a	NEW YORK, NY	5	32	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• P••••••• G•••• L••	Member	E	yes	12/2002	Jan 3, 2012	Dec 28, 2015
A••••••• K••••••••• A•••••••	CHIEF COMPLIANCE OFFICER	Na	yes	11/2015	Dec 3, 2015	Dec 28, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• C•••••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
A••••• R••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Dec 28, 2015

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
2015	n/a	$0	n/a	$450M	n/a	2	2	n/a	n/a

Relationships

Registered with (1)

← K•••••••• A••••••• A••••••Advisorregistration: current employment
Jul 18, 2021 to presentfactForm ADV

Affiliated with (1)

→ C••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (4)

← B•••• E• R••••••OwnerMEMBER, ownership code NA, individual
Nov 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a88613b0-66d6-0779-f3b2-806cd9d50595
First observed: Jan 3, 2012
Last observed: Dec 28, 2015 130 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.