DFX Intelligence

T•••• G••••• A•••• M••••••••• 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

T•••• G••••• A•••• M••••••••• L••

CRD 300038

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Search this name across graphsid dfx:ria:d2c41618-4c7e-e412-f41f-4a4ad2309c93

Data as of Mar 8, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Dec 19, 2018 to Mar 8, 2022
8 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: $39.5M••• Locked
Discretionary RAUM: $39.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• N•••••• O• B••••••• C••••••••• I••	Member	D	yes	11/2017	Dec 19, 2018	Mar 8, 2022
I••••••••• I••••••••• C•••••• L••	Member	D	yes	11/2017	May 31, 2019	Mar 8, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 8, 2022

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	$39.5M	$35.5M	11.3%	n/a	n/a	3	3	0	0

Relationships

Controls (6)

← L•• J••••••OwnerOWNER, ownership code E, individual
Dec 19, 2018 to presentfactForm ADV
← R•••••• M•••••• E••••• W•OwnerOWNER, ownership code E, individual
Dec 19, 2018 to presentfactForm ADV
← G••••• N•••••• O• B••••••• C••••••••• I••OwnerMEMBER, ownership code D, domestic entity
Dec 19, 2018 to presentfactForm ADV
← I••••••••• I••••••••• C•••••• L••OwnerMEMBER, ownership code D, domestic entity
May 31, 2019 to presentfact

Dated events

Occurred
Dec 19, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2c41618-4c7e-e412-f41f-4a4ad2309c93
First observed: Dec 19, 2018
Last observed: Mar 8, 2022 55 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.