DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

L••••• C•••••• M••••••••• I••

CRD 106757

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ccc5a54f-18de-1e05-7957-7082b0cfa411

Data as of Apr 9, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Jan 27, 2012 to Apr 9, 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: $49.2MItem 5.F on the latest filing (2012-04-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $49.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• S••••••• A•••	PRESIDENT,SECRETARY,DIRECTOR,CHIEF COMPLIANCE OFFICER	E	yes	01/1980	Jan 27, 2012	Apr 9, 2012

Relationships

Controls (1)

← L•••••• S••••••• A•••OwnerPRESIDENT,SECRETARY,DIRECTOR,CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 27, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ccc5a54f-18de-1e05-7957-7082b0cfa411
First observed: Jan 27, 2012
Last observed: Apr 9, 2012 175 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.