DFX Intelligence

P••••••••• C•••••• 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

P••••••••• C•••••• A•••••••• L•

CRD 281849

NEW YORK, NY

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Search this name across graphsid dfx:ria:cf111a47-bbe7-48e7-3ad0-0c6c4f547283

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 5, 2015 to Mar 29, 2016
2 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: $66.2M••• Locked
Discretionary RAUM: $66.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••••• J••••• D••••	MANAGING MEMBER	E	yes	08/2015	Nov 5, 2015	Mar 29, 2016
L•••••••• J••••• D••••	LIMITED PARTNER / CHIEF COMPLIANCE OFFICER	E	yes	08/2015	Nov 5, 2015	Mar 29, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$66.2M	$66.2M	2	2	n/a	n/a	n/a

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	$66.2M	n/a	n/a	n/a	n/a	2	n/a	n/a	n/a

Relationships

Controls (2)

← L•••••••• J••••• D••••OwnerMANAGING MEMBER, ownership code E, individual
Nov 5, 2015 to presentfactForm ADV
← P••••••••• C•••••• A••••••• G•• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Nov 5, 2015 to presentfactForm ADV

Dated events

Occurred
Nov 5, 2015
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cf111a47-bbe7-48e7-3ad0-0c6c4f547283
First observed: Nov 5, 2015
Last observed: Mar 29, 2016 127 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.