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.

Firm class

independent wealth managerderivedprivate_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd= related_bank= bd_reps=0.0

Regulatory AUM

$178MItem 5.F on the latest filing (2026-09-02); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$159M

Private client RAUM

$154MderivedItem 5.D individuals plus high net worth individuals

Private client share

87%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$89.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

3

Advisory employees

2

Offices

1Schedule D 1.F, beyond the principal office

Accounts

354

Individual clients

101

High net worth clients

32

Custody, client assets

$114M

SEC number

801-68932

CIK

1737917

CRD

130070

Filings on the tape

25

First filed

Nov 22, 2011

Latest filed

Sep 2, 2026

Organised

Limited Liability Company, NY

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e70226de-bd1d-ef64-b918-02e96b1535db

First observed

Nov 22, 2011

Last observed

Sep 2, 2026 19 days 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.