DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

W••••• A•••••••• L••

CRD 170915

ALBANY, NY

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Search this name across graphsid dfx:ria:a9d732a0-1070-be8c-cc0a-3d1720d0219e

Data as of Feb 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 3, 2014 to Feb 11, 2015
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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
SEC number: 801-79592
CRD: 170915
Filings on the tape: 2
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• K••••• O•••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Apr 3, 2014	Feb 11, 2015
I•••••• H•••••••• L••	Member	E	yes	03/2014	Apr 3, 2014	Feb 11, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•• A••••••• S•••••••• L••	n/a	Independent wealth	$1.1B	N	yes	n/a
P•• F•••••••• S•••••••• I•••	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
2014	Feb 11, 2015	n/a	n/a	1	0	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
2014	n/a	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Affiliated with (1)

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

Controls (6)

← P••••••• J•••• P••••OwnerMEMBER, ownership code C, individual
Apr 3, 2014 to presentfactForm ADV
← F••••• K••••• O•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 3, 2014 to presentfactForm ADV
← S••••• M••••••• T•••••••OwnerMEMBER, ownership code C, individual

Dated events

Occurred
Apr 3, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9d732a0-1070-be8c-cc0a-3d1720d0219e
First observed: Apr 3, 2014
Last observed: Feb 11, 2015 141 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.