DFX Intelligence

V••••• C•••••• 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

V••••• C•••••• A••••••• L••

CRD 161060

NEW YORK, NY

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Search this name across graphsid dfx:ria:b7b54254-c8a9-f6bd-eb7b-3a1967d37724

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Mar 31, 2017
9 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: $367M••• Locked
Discretionary RAUM: $0
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
H••••••• S•••••• P•••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2016	Jul 11, 2016	Mar 31, 2017
K•••••••• B••••• T••••••• ••••••••• L••••••	Trustee	F	yes	04/2005	Feb 14, 2012	Mar 31, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• G••••••• G• L•	n/a	n/a	n/a	N	yes	n/a
F••••••• P••••••• G• L•	n/a	n/a	n/a	N	yes	n/a
G••••••• G• L•	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 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
2016	$367M	$516M	-28.9%	$486M	-8.9%	3	4	n/a	n/a

Relationships

Controls (8)

← M•••• J•••••• P••• V•••••OwnerL•••••• PARTNER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV
← S•••••• M••••••• J•••OwnerPARTNER, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← H••••••• S•••••• P•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 11, 2016 to presentfactForm ADV
← K•••••••• B••••• T••••••• ••••••••• L••••••OwnerTRUSTEE, ownership code F, foreign entity
Feb 14, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7b54254-c8a9-f6bd-eb7b-3a1967d37724
First observed: Feb 14, 2012
Last observed: Mar 31, 2017 115 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.