DFX Intelligence

P••••••••• I••••••••• A••••••• L••: 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••••••••• A••••••• L••

CRD 110974

NEW YORK, NY

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Search this name across graphsid dfx:ria:e0816314-67cb-dfc8-d6a1-23244c804b36

Data as of Jun 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 1
Observed: Mar 22, 2012 to Jun 29, 2020
13 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

P••••••••• I••••••••• A••••••• L••

Investment consultant · shared crd

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: 35
Advisory employees: 10
Offices: 13Schedule D 1.F, beyond the principal office
High net worth clients: 165
SEC number: 801-51193

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• K•••	Manager	Na	yes	12/2010	Mar 22, 2012	Jun 29, 2020
M•••••••• A•••••• C•••••••••	MANAGER, SECRETARY, CHIEF COMPLIANCE OFFICER	Na	yes	08/2007	Mar 22, 2012	Jun 29, 2020

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	8	yes
ST. LOUIS	Mo	United States	5	no
FLORHAM PARK	Nj	United States	4	no
Philadelphia	Pa	United States	4	no
Denver	Co	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Sep 30, 2019	n/a	n/a	35	10	15	n/a	n/a
2018	Sep 27, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	n/a	n/a	n/a	n/a	n/a	35	35	13	15

Relationships

Controls (6)

← T•••••• S••••• A••••OwnerMANAGER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← A••••••• K•••OwnerMANAGER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← S••••••• S•••••• W••••••OwnerMANAGER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← M•••••••• A•••••• C•••••••••OwnerMANAGER, SECRETARY, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 22, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0816314-67cb-dfc8-d6a1-23244c804b36
First observed: Mar 22, 2012
Last observed: Jun 29, 2020 75 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.