DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R••••••••• C•••••• M•••••••••

R••••••••• C•••••• M•••••••••, LLC, CRD 149877

TOWSON, MD

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Search this name across graphsid dfx:ria:e716a84f-ccb5-eb23-f30f-77717cc5d0e3

Data as of Apr 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2011 to Apr 16, 2012
3 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
Regulatory AUM: $164M••• Locked
Discretionary RAUM: $164M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 67
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• J•••• A••	MANAGING DIRECTOR	Na	yes	01/2010	Mar 29, 2012	Apr 16, 2012
R•••••• L••••••• D•••••	Principal	Na	yes	05/2011	Mar 29, 2012	Apr 16, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R• C•••••• M••••••••• L••	n/a	Mixed wealth	$470M	N	yes	n/a
R••••••••• C•••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
R• G•• L••

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
2011	Mar 29, 2012	$164M	$164M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$164M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ R••••••••• C•••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← S••••• A•••• C••••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← R••••••••• S•••••••• Z••••OwnerCHAIRMAN, ownership code D, individual
Dec 12, 2011 to presentfactForm ADV
← R••••••••• D••••• D•••••••OwnerPRINCIPAL, ownership code C, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e716a84f-ccb5-eb23-f30f-77717cc5d0e3
First observed: Dec 12, 2011
Last observed: Apr 16, 2012 175 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.