DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

C••••••••• P••••••• A•••• M••••••••• L••

CRD 109385

NEW YORK, NY

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Search this name across graphsid dfx:ria:d9c16c89-47b2-344f-efd1-6b0b10c53ffc

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jan 10, 2012 to Mar 24, 2026
40 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: independent wealth managerderivedprivate_client_share=0.63 fund_share=0.0 institutional_share=0.19 related_bd=true related_bank=false bd_reps=7.0
Regulatory AUM: $62.9M••• Locked
Discretionary RAUM: $62.9M
Private client RAUM: $39.8Mderived••• Locked
Private client share: 63%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $15.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• M•••••• F••••••	Certified Financial Planner	NEW YORK, NY \| Chanhassen, MN	7	11	1	yes
H•••• G•••••• R•••••••	Certified Financial Planner	NEW YORK, NY \| CLEARWATER, FL	3	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• R••••••• ••••	LLC MEMBER	D	yes	05/1997	Jan 10, 2012	Mar 25, 2024
C••••••••• R••••••• ••••	PRESIDENT / CHAIRMAN	Na	yes	05/1997	Jan 10, 2012	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• P•••••••• L•••••	n/a	n/a	n/a	Y	yes	n/a
C••••••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Clearwater	FL	United States	4	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	1	0	0	2	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$62.9M	$46.1M	36.5%	$32.8M	24.3%	7	7	2	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• A••••• I••••••••• M••••••••• L••	2	May 29, 2019	Jul 2, 2026	ORLANDO, FL	Team lift out	Other	2.4%

Relationships

Registered with (5)

← i•• m• d•••• m••••••Advisorregistration: current employment
Jul 2, 2026 to presentfactForm ADV
← E•••• G•••• T••••••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← H•••• G•••••• R•••••••Advisorregistration: current employment
Dec 16, 2022 to presentfactForm ADV
← D•••• M•••••• F••••••

Dated events

Occurred
Jun 3, 2019
First Form ADV filing
C••••••••• P••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9c16c89-47b2-344f-efd1-6b0b10c53ffc
First observed: Jan 10, 2012
Last observed: Mar 24, 2026 6 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.