DFX Intelligence

Data Factory

D••••••• W••••••• 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 adviserindependent wealth managerSEC registeredRAUM 1b 10b

D••••••• W••••••• A••••••• L••

CRD 108680

NEW YORK, 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 graphsid dfx:ria:b1202e7b-820e-8794-5f90-c153d6cf61e3

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 10
On other graphs: 0
Observed: Feb 21, 2012 to Mar 24, 2026
24 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: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $6.5BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.5B
Private client RAUM: $5.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•• P•••• H•••••	Certified Financial Planner	NEW YORK, NY	5	31	n/a	no
J••••• C••••• H••••••	n/a	NEW YORK, NY	5	23

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
D•••••• S••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2019	Mar 24, 2026	Mar 24, 2026
D•••••••• R•••••• R••••	PRINCIPAL, MEMBER	B	yes	10/1999	Mar 24, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
WASHINGTON DC	Dc	United States	2	no
WEST PALM	FL	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$6.5B	$5.8B	10.9%	$4.2B	15.4%	34	34	2	2

Relationships

Registered with (10)

← C•••••• A•••••••• F•••••Advisorregistration: current employment
Jul 27, 2026 to presentfactForm ADV
← E••••• A•••••••• C•••••••Advisorregistration: current employment
Jun 5, 2024 to presentfactForm ADV
← D••••• R•••• A•••••Advisorregistration: current employment
Nov 30, 2023 to presentfactForm ADV
← G•••••• M•••••• H••••••

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
D••••••• W••••••• A••••••• L•• reported RAUM $5.0B, up 25% from $4.0B (2021-03-31 to 2022-03-31)
Form ADVobserved 7 days ago
$1.0B
Occurred
Mar 31, 2022
Control person left
Bryce D••••• Obrien (Principal, Member) no longer on Schedule A of D••••••• W••••••• A••••••• L•• (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Control person left
Choate Joshua Huffard (Principal, Member) no longer on Schedule A of D••••••• W••••••• A••••••• L•• (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1202e7b-820e-8794-5f90-c153d6cf61e3
First observed: Feb 21, 2012
Last observed: Mar 24, 2026 6 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.

Controls (14)

← H•••••• T••••••• J••••OwnerPRINCIPAL / CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 11, 2016 to Mar 29, 2024factForm ADV
← K••• I••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← D•••••••• R•••••• R••••OwnerPRINCIPAL, MEMBER, ownership code A, individual
Feb 21, 2012 to Mar 29, 2024factForm ADV
← H•••••• C••••••• T•••••OwnerPRINCIPAL, MEMBER, ownership code A, individual
Feb 21, 2012 to Mar 29, 2024factForm ADV
← W•••••••• J•••OwnerPRINCIPAL, MEMBER, ownership code B, individual
Feb 21, 2012 to Mar 29, 2024factForm ADV
← H•••••• L••• P••••OwnerPRINCIPAL, MEMBER, ownership code A, individual
Feb 21, 2012 to Mar 29, 2024factForm ADV
← W•••••••• A•••••• S•••••OwnerPRINCIPAL / CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 31, 2022 to Mar 29, 2024factForm ADV
← D•••••• S••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 31, 2022 to Mar 29, 2024factForm ADV
← K••• I••••••••• M••••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← K••• I••••••••• U•• L••OwnerMEMBER CLASS I INTERESTS, ownership code C, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← W•••• M•••••••• I•••••••• G••••• L•••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← W• H••••• ••••••••• L•••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 31, 2023 to Mar 29, 2024factForm ADV
← W• I••••••••• H••••••• L•••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← W• R••••• L••OwnerMEMBER, ownership code E, foreign entity
Mar 31, 2022 to Mar 29, 2024factForm ADV

2025	Mar 24, 2026	$6.5B	$6.5B	34	18	2	n/a	n/a
2024	Mar 31, 2025	$5.8B	$5.8B	34	17	2	n/a	n/a
2023	Mar 29, 2024	$5.0B	$5.0B	34	18	2	n/a	n/a
2022	Mar 31, 2023	$4.2B	$4.2B	34	19	2	n/a	n/a
2021	Mar 31, 2022	$5.0B	$5.0B	31	18	3	n/a	n/a
2020	Mar 31, 2021	$4.0B	$4.0B	29	17	3	n/a	n/a
2019	Mar 30, 2020	$3.3B	$3.2B	25	17	3	n/a	n/a
2018	Mar 29, 2019	$2.4B	$2.4B	24	16	3	n/a	n/a
2017	Mar 30, 2018	$2.1B	$2.1B	21	15	1	n/a	n/a
2016	Mar 31, 2017	$1.8B	$1.8B	20	15	n/a	n/a	n/a
2015	Mar 28, 2016	$1.7B	$1.6B	19	15	n/a	n/a	n/a
2014	Mar 16, 2015	$1.4B	$1.3B	14	11	n/a	n/a	n/a
2013	Mar 18, 2014	$1.2B	$1.2B	11	8	n/a	n/a	n/a
2012	Mar 18, 2013	$953M	$931M	10	8	n/a	n/a	n/a
2011	Feb 21, 2012	$714M	$692M	n/a	n/a	n/a	n/a	n/a