DFX Intelligence

P••••••• I••• D•••• P••••••• R••••••••• P••• S•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

P••••••• I••• D•••• P••••••• R••••••••• P••• S•••••••

CRD 149098

WOODBURY, NY

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Data as of Mar 4, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2012 to Mar 4, 2013
2 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: 1
Advisory employees: 1
SEC number: 801-69867
CRD: 149098
Filings on the tape: 2
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• P•••••• J•	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	12/2008	Mar 5, 2012	Mar 4, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• W••••• M••••••••• I•••	n/a	Former SEC adviser	$221M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 4, 2013	n/a	n/a	1	1	n/a	n/a	n/a
2011	Mar 5, 2012

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	n/a	$0	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ P••••••• W••••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← C•••••• P•••••• J•OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 5, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 5, 2012
Last observed: Mar 4, 2013 165 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.