DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

T••••• W•••• C•••••• M••••••••• L••

CRD 282527

GREENWICH, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a9f4b343-47cc-10d2-d931-962773609d53

Data as of Aug 3, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2016 to Aug 3, 2016
3 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: 22
Advisory employees: 11
Custody, client assets: $0
SEC number: 801-107597
CRD: 282527
Filings on the tape

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J•••••• A•••••	CHIEF FINANCIAL OFFICER	Na	yes	02/2011	Mar 29, 2016	Aug 3, 2016
F••••••• R•••••• S•••••	MEMBER AND CHIEF OPERATING OFFICER	B	yes	02/2011	Mar 29, 2016	Aug 3, 2016

Affiliates (Item 7.A)

••• Locked

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

Relationships

Controls (5)

← B••••• J•••••• A•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← F••••••• R•••••• S•••••OwnerMEMBER AND CHIEF OPERATING OFFICER, ownership code B, individual
Mar 29, 2016 to presentfactForm ADV
← T•••••• G•••••• P•••••••OwnerMANAGING MEMBER, ownership code C, individual
Mar 29, 2016 to presentfactForm ADV
← W••••• T•••••• C••••OwnerMANAGING MEMBER, ownership code C, individual
Mar 29, 2016 to presentfact

Dated events

Occurred
Mar 29, 2016
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9f4b343-47cc-10d2-d931-962773609d53
First observed: Mar 29, 2016
Last observed: Aug 3, 2016 123 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.