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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

R••• L••• A•••• M•••••••••

R••• L••• A•••• M••••••••• INC., CRD 224519

NEW YORK, NY

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Search this name across graphs

Data as of Jun 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 6
On other graphs: 0
Observed: May 1, 2015 to Jun 18, 2019
16 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: $8.4B••• Locked
Discretionary RAUM: $8.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 41
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• W••••••• C•••••••••	HEAD OF SALES, CLIENT SERVICE, AND STRATEGY AND BOARD MEMBER	Na	yes	08/2017	Sep 20, 2017	Jun 18, 2019
B•••• N•••• J••••	BOARD MEMBER; HEAD OF LEGAL, S•• M•••••••••	Na	yes	04/2018	Mar 29, 2019	Jun 18, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••••• F•••••••• S••••••• C••••••	n/a	Asset manager	$514B	N	yes	n/a
M•• I••••••••• A••••••• I•••	n/a	Other adviser	$114B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Wellesley	Ma	United States	5	no
Salem	Nh	United States	3	no
Bethesda	Md	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$8.4B	$7.7B	8.2%	$5.7B	13.5%	41	39	3	2

Relationships

Affiliated with (6)

→ M•• I••••••••• A••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ P•••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ S•• M•••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ M•• I••••••••• M•••••••••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Mar 29, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 1, 2015
Last observed: Jun 18, 2019 88 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.

All 13 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•• L••• F•••••••• I•••	SOLE SHAREHOLDER	E	yes	04/2015	May 1, 2015	Jun 18, 2019
S•• L••• G••••• I••••••••• I•••	SOLE SHAREHOLDER	E	yes	12/2004	May 1, 2015	Jun 18, 2019
S•• L••• I••••••••• M••••••••• U•••• I•••	SOLE SHAREHOLDER	E	yes	01/2018	Mar 29, 2018	Jun 18, 2019

All 15 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• L••• C•••••• M••••••••• ••••••• I•••	n/a	n/a	n/a	N	yes	n/a
S•• L••• C••• F• G• I•••	n/a	n/a	n/a	N	yes	n/a
S•• L••• I••••••••• D••••••••• ••••• L••	n/a	n/a	n/a	N	yes	n/a
S•• L••• L••• T••• C••• F• G• I•••	n/a	n/a	n/a	N	yes	n/a
S•• L••• P••• G• I•••	n/a	n/a	n/a	N	yes	n/a