DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

A•••• L••••• P••••••• A•

CRD 305042

ZURICH, ZH

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Data as of Feb 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 24, 2020 to Feb 24, 2020
1 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: $620M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• W•••••	CFO/COO	Na	yes	11/2017	Feb 24, 2020	Feb 24, 2020
M•••••• K••••	CCO, ASSOCIATE DIRECTOR INVESTMENT OPERATIONS & COMPLIANCE	Na	yes	01/2018	Feb 24, 2020	Feb 24, 2020

Relationships

Affiliated with (1)

← A•••• L••••• P•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV

Controls (5)

← P••••••••• D••••• B••••OwnerCEO/CIO, ownership code A, individual
Feb 24, 2020 to presentfactForm ADV
← S••••••••• S••••OwnerCHAIRMAN, ownership code F, individual
Feb 24, 2020 to presentfactForm ADV
← B••••••••• W•••••OwnerCFO/COO, ownership code NA, individual

Dated events

Occurred
Feb 24, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 24, 2020
Last observed: Feb 24, 2020 80 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.