DFX Intelligence

F•••••••• 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 100m 1b

F•••••••• P••••••• C•••••• M••••••••• L••

CRD 105667

NEW YORK, NY

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Search this name across graphsid dfx:ria:d0588bb7-5466-95f2-4004-4025dcca86ff

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 8
On other graphs: 0
Observed: Mar 26, 2012 to Mar 30, 2022
16 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: $742M••• Locked
Discretionary RAUM: $649M
Private client RAUM: $738Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• A••••	PRESIDENT, CHIEF OPERATING MANAGER	E	yes	12/2003	Mar 26, 2012	Mar 30, 2022
G•••••••• C••••• M•••••••	MANAGING DIRECTOR	B	yes	06/2006	Mar 26, 2012	Mar 30, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$742M	$654M	13.4%	$466M	16.7%	10	12	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G•• F•••••••• S••••••••• L••	3	Mar 28, 2023	Apr 4, 2023	AVENTURA, FL	Firm absorbed	RIA to RIA	60.0%
G•• F•••••••• S••••••••• L••	2	Mar 28, 2023	Apr 4, 2023

Relationships

Controls (3)

← M••••••• V••••••• J•••OwnerCHIEF COMPLIANCE OFFICER, COO, ownership code A, individual
Mar 26, 2012 to presentfactForm ADV
← C••••• A••••OwnerPRESIDENT, CHIEF OPERATING MANAGER, ownership code E, individual
Mar 26, 2012 to presentfactForm ADV
← G•••••••• C••••• M•••••••OwnerMANAGING DIRECTOR, ownership code B, individual
Mar 26, 2012 to presentfactForm ADV

Moved with (2)

→ G•• F•••••••• S••••••••• L••Registered adviser

Dated events

Occurred
Mar 28, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Mar 28, 2023
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Mar 28, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0588bb7-5466-95f2-4004-4025dcca86ff
First observed: Mar 26, 2012
Last observed: Mar 30, 2022 54 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.