DFX Intelligence

C•••• D•••• A•••• M••••••••• 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 adviserformer SEC advisernot on rosterRAUM none

C•••• D•••• A•••• M••••••••• L••

C•••• D•••• A•••• M••••••••• LLC, CRD 154822

WHITE PLAINS, 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:b5e8fc23-314a-988f-8998-0920bba1d303

Data as of Feb 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Feb 28, 2018
20 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
Employees: 1
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-71782
CRD: 154822

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• J•••••• V••••••	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	D	yes	08/2010	Mar 21, 2012	Feb 28, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	n/a	$266M	n/a	$344M	n/a	1	6	1	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
5• C•••••• M••••••••• L••	2	Jun 1, 2017	Jan 1, 2026	WHITE PLAINS, NY	Team lift out	Other	100.0%

Relationships

Controls (1)

← D••••••• J•••••• V••••••OwnerCHIEF EXECUTIVE OFFICER/MANAGING MEMBER, ownership code D, individual
Mar 21, 2012 to presentfactForm ADV

Moved with (1)

→ 5• C•••••• M••••••••• L••Registered adviser2 advisors, team lift out, same day
Jun 1, 2017 to Jan 1, 2026factForm ADV

Registered with (6)

← STEPHEN WILLIAM GUERCIOAdvisorregistration: previous registration
Jan 31, 2018 to Jan 3, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5e8fc23-314a-988f-8998-0920bba1d303
First observed: Mar 21, 2012
Last observed: Feb 28, 2018 104 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.