DFX Intelligence

A••••••• A•••• M••••••••• G•••• 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

A••••••• A•••• M••••••••• G•••• I••

CRD 105099

ROCKVILLE, MD

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Data as of Jun 7, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 7, 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: $69.0M••• Locked
Discretionary RAUM: $47.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 116

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• G•••••• B••••	President	E	yes	04/1984	Mar 30, 2012	Jun 7, 2012
C••• C••••••••• L••	Owner	B	no	12/2011	Mar 30, 2012	Jun 7, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• F•••••••• G••••• I•••	n/a	Former SEC adviser	$880M	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$67.3M	$45.3M	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	$69.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ M••••••• F•••••••• G••••• I•••Registered adviserother investment adviser
factForm ADV

Owns (2)

← C••• C••••••••• L••OwnerOWNER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← W•••••••• A••• F••••••••OwnerOWNER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Controls (1)

← L•••• G•••••• B••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Jun 7, 2012 174 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.