DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S•• I••••••••• A•••••••• L••

CRD 330236

CHICAGO, IL

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Search this name across graphsid dfx:ria:c7c52a94-759f-7351-3512-27c88e625ef9

Data as of Mar 6, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 1
On other graphs: 0
Observed: Mar 6, 2024 to Mar 6, 2024
1 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: 50
Advisory employees: 50
Offices: 2Schedule D 1.F, beyond the principal office
SEC number: 801-129842
CRD: 330236

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• C• R•••••• D••••••••• O• T•••• U•• D•• 1•••••••••	LIMITED PARTNER	C	yes	02/2024	Mar 6, 2024	Mar 6, 2024
A•••• C• R•••••• D••••••••• O• T•••• U•• D•• 1•••••••••	Member	C	yes	02/2024	Mar 6, 2024	Mar 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• S•••••••• G• I• L•	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	6	no
Cambridge	Ma	United States	2	no

Relationships

Controls (12)

← T••••••••• C••••• W•••••OwnerMANAGER, ownership code F, individual
Mar 6, 2024 to presentfactForm ADV
← K•••••••• S••••••• N••OwnerMANAGER, ownership code F, individual
Mar 6, 2024 to presentfactForm ADV
← R••••••• A••••• C•••OwnerTRUSTEE, ownership code F, individual
Mar 6, 2024 to presentfactForm ADV
← T••••••••• J••••• L••OwnerTRUSTEE, ownership code F, individual
Mar 6, 2024 to presentfact

Dated events

Occurred
Mar 6, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7c52a94-759f-7351-3512-27c88e625ef9
First observed: Mar 6, 2024
Last observed: Mar 6, 2024 31 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.