DFX Intelligence

R• S•••••• • C••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

R• S•••••• • C••• I•••

R• S•••••• • C•••••••, CRD 14974

SUMMIT, NJ

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Search this name across graphsid dfx:ria:bc9b022d-0a45-a7e3-4781-391b3210a334

Data as of Jun 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 26, 2012
4 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: $35.6M••• Locked
Discretionary RAUM: $5.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 78
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• M•••••• H••••••••	MANAGING DIRECTOR	B	yes	04/2004	Mar 30, 2012	Jun 26, 2012
G•••••••• B••••••	SECRETARY/HEAD TRADER	B	yes	03/1993	Mar 30, 2012	Jun 26, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R• S•••••• • C•••••••	n/a	Former SEC adviser	$35.6M	Y	yes	n/a
R•• F•••••••• P••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$36.3M	$5.8M	n/a	n/a	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
2011	$35.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

← S•••••• ASSET MANAGEMENT, LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ R• S•••••• • C••• I•••Registered adviserbroker-dealer, control, common control
factForm ADV

Controls (5)

← G•••••••• B••••••OwnerSECRETARY/HEAD TRADER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← C••••••• M•••••• H••••••••OwnerMANAGING DIRECTOR, ownership code B, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bc9b022d-0a45-a7e3-4781-391b3210a334
First observed: Mar 30, 2012
Last observed: Jun 26, 2012 173 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.