DFX Intelligence

P•• R••••• I••••••••• I•••: 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 1b 10b

P•• R••••• I••••••••• I•••

CRD 139904

BALTIMORE, MD

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:c34512ad-f91c-28d9-25f7-1fb57c6796b6

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 8
On other graphs: 0
Observed: Jan 31, 2012 to Mar 31, 2023
26 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: $4.6B••• Locked
Discretionary RAUM: $4.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• C••••••• M••••••	PRESIDENT AND DIRECTOR	Na	yes	11/2021	Dec 17, 2021	Mar 31, 2023
G••••••• M••••••• J•••••	Director	Na	yes	06/2018	Jul 13, 2018	Mar 31, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•• C•••••• A••••••• L••	n/a	Other adviser	$51B	N	yes	n/a
P•• I••••••••• L••	n/a	Bd affiliated wealth	$30B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Washington	Dc	United States	10	no
SAN FRANCISCO,	CA	United States	8	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2022	$4.6B	$5.3B	-11.8%	$5.3B	-4.5%	27	27	2	3

Relationships

Affiliated with (4)

← P•• W••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ P•• W••••• M•••••••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ P•• C•••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← P•• M•••••• A•••••• S••••••••• I•••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 28, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 17, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c34512ad-f91c-28d9-25f7-1fb57c6796b6
First observed: Jan 31, 2012
Last observed: Mar 31, 2023 42 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.