DFX Intelligence

E•••• B•• A••••••• 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

E•••• B•• A••••••• L••

CRD 171225

NEW YORK, NY

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Search this name across graphsid dfx:ria:b2b1e6e4-4666-f432-272c-b9c3de88de0d

Data as of Sep 2, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: May 21, 2014 to Sep 2, 2015
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
Regulatory AUM: $173M••• Locked
Discretionary RAUM: $173M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••••• M••••••• D••••	CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER	E	yes	06/2015	Jun 12, 2015	Sep 2, 2015
P•••••• S••••• F••••	MANAGING PARTNER	Na	no	06/2015	Sep 2, 2015	Sep 2, 2015

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 11, 2015	n/a	n/a	1	0	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
2014	$173M	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Controls (1)

← N•••••• M••••••• D••••OwnerCHIEF COMPLIANCE OFFICER AND MANAGING MEMBER, ownership code E, individual
Jun 12, 2015 to presentfactForm ADV

Owns (1)

← P•••••• S••••• F••••OwnerMANAGING PARTNER, ownership code NA, individual
Sep 2, 2015 to presentfactForm ADV

Dated events

Occurred
Jun 12, 2015
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
May 21, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2b1e6e4-4666-f432-272c-b9c3de88de0d
First observed: May 21, 2014
Last observed: Sep 2, 2015 134 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.