DFX Intelligence

L••• P••••••• A•••••••• 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 under $100M

L••• P••••••• A•••••••• L••

CRD 297131

PURCHASE, NY

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 graphs

Data as of Jun 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: May 15, 2018 to Jun 19, 2020
7 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: $26.0M••• Locked
Discretionary RAUM: $26.0M
Private client RAUM: $26.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• W••••• M••••••••• L••	Member	D	yes	03/2017	May 15, 2018	Jun 19, 2020
B••••• M•••••••• S••••	Manager	Na	yes	03/2017	May 15, 2018	Jun 19, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• W••••• M••••••••• L••	n/a	Former SEC adviser	$2.7B	Y	yes	n/a
A••••• P••••••• 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
2019	Mar 30, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$26.0M	$23.2M	12.1%	n/a	n/a	5	6	0	0

Relationships

Affiliated with (2)

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

Controls (8)

← W••••• S••••••••• L••OwnerMEMBER, ownership code D, domestic entity
May 15, 2018 to presentfactForm ADV
← A••••• W••••• M••••••••• L••Owner

Dated events

Order

Occurred
15 May 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 15, 2018
Last observed: Jun 19, 2020 76 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.