DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

P•••••• C•••••• M••••••••• L•

CRD 104672

NAPLES, FL

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Search this name across graphsid dfx:ria:cec66084-720a-c9a9-7d01-3333594c1f51

Data as of Sep 24, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Sep 24, 2013
6 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: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• C•••••• M••••••••• T•• D••••••• B••••••• F•••• L•••	Hedge Fund	$5.0M	Jun 29, 2012	6	Mar 30, 2012	dropped	n/a
P•••••• C•••••• M••••••••• T•• M•••••• B••••••• F•••• L•••	Hedge Fund	$2.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• C••••••• D••••••	PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, AND GENERAL COUNSEL	Na	yes	05/2004	Mar 30, 2012	Sep 24, 2013
J••••• D••••• G•••••	CHIEF FINANCIAL OFFICER	Na	yes	04/2010	Mar 30, 2012	Sep 24, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••••• C•••••••••	n/a	n/a	n/a	Y	yes	n/a
L••• M•••• I••••••••• ••••••• 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
2013	Jun 17, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$1.2B	$1.6B	-24.7%	n/a	n/a	25	n/a	n/a	n/a

Relationships

Controls (6)

← P•••••• G••••• J•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← J••••• D••••• G•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← A•••••• C••••••• D••••••OwnerPRESIDENT, COO, CHIEF COMPLIANCE OFFICER, AND GENERAL COUNSEL, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← L••• M••••• I•••OwnerSOLE SHAREHOLDER / SOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to present

Dated events

Occurred
Sep 11, 2013
Succession filed (Item 4)
P•••••• C•••••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cec66084-720a-c9a9-7d01-3333594c1f51
First observed: Mar 30, 2012
Last observed: Sep 24, 2013 158 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.