DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

V•••••••• I••

CRD 160138

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Search this name across graphsid dfx:ria:be20267d-badb-205f-8835-6eb8cbf74b7a

Data as of Aug 12, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2012 to Aug 12, 2024
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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-73017
CRD: 160138

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• S•••••• ••••	CHIEF INVESTMENT OFFICER AND CHIEF COMPLIANCE OFFICER	C	yes	10/2011	Jan 3, 2012	Aug 12, 2024
R••• O•••••••• ••••	CHIEF EXECUTIVE OFFICER	C	yes	10/2011	Jan 3, 2012	Aug 12, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Dec 8, 2023	n/a	n/a	2	2	0	n/a	n/a
2022	Dec 12, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	n/a	n/a	n/a	n/a	n/a	2	2	0	0

Relationships

Controls (2)

← G••••• S•••••• ••••OwnerCHIEF INVESTMENT OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Jan 3, 2012 to presentfactForm ADV
← R••• O•••••••• ••••OwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Jan 3, 2012 to presentfactForm ADV

Owns (1)

← K••••••••• V••••••••• ••••OwnerCO FOUNDER, ownership code B, individual
Jan 3, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be20267d-badb-205f-8835-6eb8cbf74b7a
First observed: Jan 3, 2012
Last observed: Aug 12, 2024 25 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.