DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

E•••• I••••••••• P••••••• P•• L••••••

CRD 157265

SYDNEY, NSW

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Search this name across graphsid dfx:ria:ca19ae50-f9d8-f877-9e9e-dcf4a3f88515

Data as of Jul 6, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2012 to Jul 6, 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: $32.4M••• Locked
Discretionary RAUM: $32.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• K••••• D••••	Director	C	yes	01/2010	Mar 6, 2012	Jul 6, 2015
S•••••• R••••••• E••••	CEO/CHIEF COMPLIANCE OFFICER	Na	yes	01/2010	Mar 6, 2012	Jul 6, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••• I••••••••• P••••••• A•••••••• P•• 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
2014	Jul 6, 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
2014	$32.4M	$217M	-85.1%	$262M	-50.2%	5	10	n/a	n/a

Relationships

Controls (3)

← S•••••• K••••• D••••OwnerDIRECTOR, ownership code C, individual
Mar 6, 2012 to presentfactForm ADV
← S•••••• R••••••• E••••OwnerCEO/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← W••••• M•••••• S•••••• A•• F•• T•• W•••• F••••• T••••OwnerDIRECTOR, ownership code C, foreign entity
Jul 6, 2015 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca19ae50-f9d8-f877-9e9e-dcf4a3f88515
First observed: Mar 6, 2012
Last observed: Jul 6, 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.