DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

M••• E•• R••••••• L••

CRD 169222

NEW YORK, NY

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Search this name across graphsid dfx:ria:e78da3a1-d568-2648-d43a-5de7951e823c

Data as of Mar 18, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 22
On other graphs: 1
Observed: Dec 11, 2013 to Mar 18, 2025
34 observations

Across DFX

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

Allocatorsidentity

M••• E•• R••••••• 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
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 87
Advisory employees: 42
Offices: 6Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• N••••• M•••••••••	CEO AND PRESIDENT	Na	yes	11/2024	Nov 21, 2024	Nov 22, 2024
G•••••••• R•••••• J•	Secretary	Na	yes	10/2012	Dec 11, 2013	Nov 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••• I•••• L••• F•••••••• B•••••	n/a	n/a	n/a	N	yes	n/a
B•••• I•••• L••• S•••• A••••• B•••••	n/a	n/a	n/a	N	yes	n/a
B••••••••• L•••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	7	no
Toronto	n/a	Canada	6	no
Gaithersburg	Md	United States	2	no
SAN FRANCISCO	CA	United States	0	no
Chicago	IL	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 18, 2025	$0	$0	87	42	6	n/a	n/a
2023	Mar 26, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$0	n/a	n/a	n/a	n/a	87	103	6	5

Relationships

Affiliated with (1)

← G•• R••••••Registered adviserother investment adviser, LP sponsor, control, common control
factForm ADV

Controls (5)

← G•••••••• R•••••• J•OwnerSECRETARY, ownership code NA, individual
Dec 11, 2013 to Nov 22, 2024factForm ADV
← W••••••••• A•••••• C••••OwnerCFO, ownership code NA, individual
Mar 29, 2019 to Nov 22, 2024factForm ADV
← U•••• J•••••• H•••••OwnerTREASURER, ownership code NA, individual

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 22, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 21, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 21, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e78da3a1-d568-2648-d43a-5de7951e823c
First observed: Dec 11, 2013
Last observed: Mar 18, 2025 18 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.