DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A••••••• I••••••••• M••••••••• ••••••••• P••• L•••

CRD 168850

S•••••••• 049318

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Search this name across graphsid dfx:ria:c8ebf74c-3d95-5440-0914-bb5fa7cffc7f

Data as of Jun 25, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Aug 22, 2013 to Jun 25, 2015
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: $203M••• Locked
Discretionary RAUM: $158M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••• A•••• F•••	Other Private Fund	$20.1M	Jul 24, 2014	50	Jun 30, 2014	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• C•••••• H••••••• L••••••	Owner	E	yes	09/2011	Aug 22, 2013	Jun 25, 2015
L••• Y•••• N••	Owner	E	yes	09/2010	Aug 22, 2013	Jun 25, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• I••••••••• M••••••••• •••• K•••• L••	n/a	Former SEC adviser	$524M	N	yes	n/a
A••••••• I••••••••• M••••••••• •••••••• L•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Jun 25, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$203M	$173M	17.2%	n/a	n/a	5	6	n/a	n/a

Relationships

Affiliated with (2)

← A••••••• I••••••••• M••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ A••••••• I••••••••• M••••••••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV

Owns (1)

← T•••••• P•••••• K•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 22, 2013 to presentfactForm ADV

Controls (4)

Dated events

Occurred
Aug 22, 2013
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8ebf74c-3d95-5440-0914-bb5fa7cffc7f
First observed: Aug 22, 2013
Last observed: Jun 25, 2015 136 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.