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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

R••• H••••• P••••••• L••

CRD 322545

LARCHMONT, NY

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Search this name across graphsid dfx:ria:da858800-6ecc-dd7a-96bc-21c0a886a82d

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 8, 2023 to Mar 27, 2026
5 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=0.96 fund_share=0.03 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.7BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $95.3M
Private client RAUM: $2.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• E•••• S••••	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, MEMBER, MANAGER COMPLIANCE OFFICER	E	yes	10/2021	Mar 27, 2026	Mar 27, 2026
S••••••••• A••••••••• W•••••	DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER	Na	yes	11/2022

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.7B	$2.3B	14.6%	n/a	n/a	4	4	0	0

Relationships

Controls (2)

← A•••••• E•••• S••••OwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, MEMBER, MANAGER, ownership code E, individual
Mar 8, 2023 to Mar 20, 2024factForm ADV
← S••••••••• A••••••••• W•••••OwnerDIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 8, 2023 to Mar 20, 2024factForm ADV

Dated events

Occurred
Mar 8, 2023
First Form ADV filing
R••• H••••• P••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:da858800-6ecc-dd7a-96bc-21c0a886a82d
First observed: Mar 8, 2023
Last observed: Mar 27, 2026 5 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.