DFX Intelligence

S•••••••• G••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

S•••••••• G••••• A•••• M••••••••• L••

CRD 107522

BOCA RATON, FL

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Search this name across graphsid dfx:ria:b89d7145-6755-7f5e-9755-b96c8e864599

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 12, 2019
19 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: $1.0B••• Locked
Discretionary RAUM: $919M
Private client RAUM: $949Mderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• J••••••• R•••	DIRECTOR OF RESEARCH/PORTFOLIO MANAGER/PRINCIPAL	Na	yes	01/2008	Mar 29, 2012	Mar 12, 2019
E••••••• T•••• L••••	CHIEF ADMINISTRATIVE OFFICER/MANAGING PRINCIPAL	Na	yes	06/2008	Mar 29, 2012	Mar 12, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$1.0B	$1.0B	4.3%	$753M	11.5%	18	18	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• P••••••• W•••••• L••	2	May 31, 2019	Jun 27, 2019	BOCA RATON, FL	Team lift out	RIA to RIA	20.0%
S• S•••••	7	May 31, 2019	Aug 21, 2015

Relationships

Controls (9)

← S••••••••• R••••••• D••••OwnerPRESIDENT/CHIEF INVESTMENT OFFICER/SENIOR MANAGING PRINCIPAL, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← P•••••••• K••••••• A•••OwnerSENIOR RELATIONSHIP MANAGER/MANAGING PRINCIPAL, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← S••••••••• N•••••• ••••OwnerPORTFOLIO MANAGER/PRINCIPAL, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV
← S•••••• J•••• W••••••OwnerPORTFOLIO MANAGER/PRINCIPAL, ownership code A, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b89d7145-6755-7f5e-9755-b96c8e864599
First observed: Mar 29, 2012
Last observed: Mar 12, 2019 91 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.