DFX Intelligence

W•••• R••••••• A•••••••• 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

W•••• R••••••• A•••••••• L••

CRD 305497

NEW YORK, NY

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Search this name across graphsid dfx:ria:ccbfce8f-82c6-3556-2b07-478c032b1605

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Sep 24, 2019 to Mar 31, 2021
5 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: $55.8M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 98
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• R•••••• D••••	CHIEF OPERATING OFFICER	Na	yes	08/2019	Jul 24, 2020	Mar 31, 2021
F•••• M••••••••• E•••••	President	Na	yes	08/2019	Jul 24, 2020	Mar 31, 2021

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	3	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 31, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$55.8M	$29.5M	89.1%	n/a	n/a	98	8	1	0

Relationships

Owns (1)

← P•••••••• S•••••• M••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 24, 2019 to presentfactForm ADV

Controls (5)

← W••••• E•••••• M•••OwnerMANAGING MEMBER, ownership code E, individual
Sep 24, 2019 to presentfactForm ADV
← F•••••• R•••••• D••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jul 24, 2020 to presentfactForm ADV
← F•••• M••••••••• E•••••OwnerPRESIDENT, ownership code NA, individual

Dated events

Occurred
Jul 24, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 24, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 24, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
May 15, 2020
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ccbfce8f-82c6-3556-2b07-478c032b1605
First observed: Sep 24, 2019
Last observed: Mar 31, 2021 66 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.