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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

A••••••••• S•• P•••••••• L••

CRD 339770

NEW YORK, NY

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Search this name across graphsid dfx:ria:bed13ed9-cca1-2731-7cec-2fd4a17d5b97

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: May 7, 2026 to Aug 10, 2026
2 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-08-10); 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
Advisors on IAPD: 0
Employees: 16
Advisory employees: 13
Offices

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
S••••••• R•••••• L•••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2026	Aug 10, 2026	Aug 10, 2026

Relationships

Controls (1)

← S••••••• R•••••• L•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 10, 2026 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bed13ed9-cca1-2731-7cec-2fd4a17d5b97
First observed: May 7, 2026
Last observed: Aug 10, 2026 43 days 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.