DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A•••• M••••••••• L•••

CRD 169852

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d49fecbb-62b4-1642-334d-b373e3f4a354

Data as of May 2, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2013 to May 2, 2014
4 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Custody, client assets: $0
SEC number: 801-78947
CRD: 169852
Filings on the tape

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• M••••••••• G•••••• L••	G•••••• P•••••• O• A•••• M••••••••• L•••	Na	yes	11/2013	Dec 9, 2013	May 2, 2014
A••••• M••••••••• H••••• G•••••• L••	G•••••• P•••••• O• A••••• M••••••••• H•••••• L•••	F	yes	10/2006	Dec 9, 2013	May 2, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• C•••••• M••••••••• I•• L•••	n/a	Asset manager	$5.0B	N	yes	n/a
A••••• E••••• I••••••••• M••••••••• L•••	n/a	Asset manager	$3.9B	N	yes	n/a

Relationships

Affiliated with (4)

→ A••••• C•••••• M••••••••• I•• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••••• A••• C•••••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••••• E••••• I••••••••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ 1••• A••••• M••••••••• L•••Registered adviser

Dated events

Occurred
Dec 9, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d49fecbb-62b4-1642-334d-b373e3f4a354
First observed: Dec 9, 2013
Last observed: May 2, 2014 150 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.

Controls (12)

← L••••• M•••OwnerMANAGING MEMBER OF A•••• M••••••••• G•••••• L••, ownership code E, individual
Dec 9, 2013 to presentfactForm ADV
← G••••••• S••••• E•••••OwnerMANAGING MEMBER OF A•••• M••••••••• G•••••• L••, ownership code F, individual
Dec 9, 2013 to presentfactForm ADV
← F••••• R••••••• P•••••OwnerCHIEF INVESTMENT OFFICER OF A•••• M••••••••• L•••, ownership code NA, individual
Dec 9, 2013 to presentfactForm ADV
← R•••• E•••• L•••••••OwnerSENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER OF A•••• M••••••••• L•••, ownership code NA, individual
Dec 9, 2013 to presentfactForm ADV
← L•••••• T•••••• M•••OwnerCHIEF FINANCIAL OFFICER OF A•••• M••••••••• L•••, ownership code NA, individual
Dec 9, 2013 to presentfactForm ADV
← C••••• D••••• M••••••OwnerSENIOR MANAGING DIRECTOR AND CHIEF RISK OFFICER OF A•••• M••••••••• L•••, ownership code NA, individual
Dec 9, 2013 to presentfactForm ADV
← A•••• M••••••••• G•••••• L••OwnerGENERAL PARTNER OF A•••• M••••••••• L•••, ownership code NA, domestic entity
Dec 9, 2013 to presentfactForm ADV
← A••••• M••••••••• H••••• G•••••• L••OwnerGENERAL PARTNER OF A••••• M••••••••• H•••••• L•••, ownership code F, domestic entity
Dec 9, 2013 to presentfactForm ADV
← A••••• M••••••••• H•••••• L•••OwnerL•••••• PARTNER OF A•••• M••••••••• L•••, ownership code D, domestic entity
Dec 9, 2013 to presentfactForm ADV
← G• M••••••••• L••OwnerMANAGING MEMBER OF M•• M••••••••• L••, ownership code D, domestic entity
Dec 9, 2013 to presentfactForm ADV
← M• A•• H••••••• A• I•••OwnerL•••••• PARTNER OF A••••• M••••••••• H•••••• L•••, ownership code C, domestic entity
Dec 9, 2013 to presentfactForm ADV
← M•• M••••••••• L••OwnerL•••••• PARTNER OF A••••• M••••••••• H•••••• L•••, ownership code E, domestic entity
Dec 9, 2013 to presentfactForm ADV