DFX Intelligence

C•••••• E••••• G•••• 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

C•••••• E••••• G•••• A•••••••• L••

CRD 143315

MATAWAN, NJ

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Search this name across graphsid dfx:ria:b0ef87db-0940-b3b4-624d-f57c53cbe1dc

Data as of Jul 20, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 0
On other graphs: 0
Observed: Dec 14, 2011 to Jul 20, 2012
5 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
SEC number: 801-67705
CRD: 143315
Filings on the tape: 5
First filed: Dec 14, 2011
Latest filed: Jul 20, 2012
Organised

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• L••• D••••	Svp	B	yes	03/2006	Dec 14, 2011	Jul 20, 2012
B••••• S••••••••• L••••	Secretary	Na	yes	06/2011	Dec 14, 2011	Jul 20, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• F•••••••• L••	n/a	Bd affiliated wealth	$819B	N	yes	n/a
F••••••••• L••	n/a	Former SEC adviser	$3.5B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	n/a	n/a	n/a	n/a	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
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (5)

→ I••••••••• A••••••• G•••• C•••Registered adviserother investment adviser, common control
factForm ADV
→ F••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ N••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•• F•••••••• L••Registered adviserother investment adviser, broker-dealer, bank, trust company, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0ef87db-0940-b3b4-624d-f57c53cbe1dc
First observed: Dec 14, 2011
Last observed: Jul 20, 2012 172 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.