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S•••••• C•••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••••• C•••••• P•••••••• L••

CRD 160951

WHITE PLAINS, NY

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Search this name across graphsid dfx:ria:b00ad2bc-72e0-b80d-49c3-30a14b4865d1

Data as of Feb 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 2
Observed: Feb 14, 2012 to Feb 14, 2012
1 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S•••••• C•••••• P•••••••• L••

Private equity manager · shared crd

Real Estate Fundsidentity

S•••••• C•••••• P•••••••• L••

Real estate fund manager · shared crd

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: $120MItem 5.F on the latest filing (2012-02-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••• D••••••• F••••	PRESIDENT, MEMBER	D	yes	12/2011	Feb 14, 2012	Feb 14, 2012
S••••• R••••••• D••••	CHIEF EXECUTIVE OFFICER, MEMBER	D	yes	12/2011	Feb 14, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• F••••• O••••• L••	n/a	Former SEC adviser	$129M	N	yes	n/a
S•••••• H••••••••• P••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ S•••••• F••••• O•••••Registered adviserother investment adviser, common control
factForm ADV

Owns (2)

← S•••• L•••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← W•••••• M••••••• E•••••OwnerCHIEF OPERATING OFFICER, CCO, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV

Controls (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b00ad2bc-72e0-b80d-49c3-30a14b4865d1
First observed: Feb 14, 2012
Last observed: Feb 14, 2012 177 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.