DFX Intelligence

Data Factory

C•••• B••••• C•••••• I••••••••• 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 adviserformer SEC advisernot on rosterRAUM 100m 1b

C•••• B••••• C•••••• I••••••••• A••••••• L••

CRD 291198

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:bae1f6c3-9dac-4412-ee31-a25cf9521a19

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Dec 20, 2017 to Mar 12, 2019
6 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: $189MItem 5.F on the latest filing (2019-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
C•••• B••••• C•••••• I••••••••• I•••	Owner	E	yes	07/2017	Dec 20, 2017	Mar 12, 2019
C•••• B••••• C•••••• L••••••	Owner	E	yes	02/2009	Dec 20, 2017

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
2018	Mar 12, 2019	$189M	$0	2	2	1	n/a	n/a

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
2018	$189M	n/a	n/a	n/a	n/a	2	n/a	1	n/a

Relationships

Controls (3)

← G••• D••••••OwnerELECTED MANAGER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2017 to presentfactForm ADV
← C•••• B••••• C•••••• I••••••••• I•••OwnerOWNER, ownership code E, domestic entity
Dec 20, 2017 to presentfactForm ADV
← C•••• B••••• C•••••• L••••••OwnerOWNER, ownership code E, domestic entity
Dec 20, 2017 to presentfactForm ADV

Dated events

Occurred
May 7, 2018
Regulatory AUM changed
C•••• B••••• C•••••• I••••••••• A••••••• L•• reported RAUM $188.7M, down 84% from $1.2B (2018-05-02 to 2018-05-07)
Form ADVobserved 7 days ago
$-1.0B
Occurred
Dec 20, 2017
First Form ADV filing
C•••• B••••• C•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bae1f6c3-9dac-4412-ee31-a25cf9521a19
First observed: Dec 20, 2017
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.