DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

R••••••••• S••••••••• L••

CRD 289912

NORTH WHITE PLAINS, NY

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Search this name across graphsid dfx:ria:ebed2a41-3089-216f-f810-0323b77bd709

Data as of Jan 17, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2018 to Jan 17, 2018
1 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••• J•••• J•••••	MANAGING MEMBER	E	yes	08/2017	Jan 17, 2018	Jan 17, 2018
C••••• J••• J•••••	MANAGING DIRECTOR	Na	no	01/2018	Jan 17, 2018	Jan 17, 2018

Relationships

Owns (3)

← L••••••••• T•••••••• M•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 17, 2018 to presentfactForm ADV
← R•••••• R•••••• J•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 17, 2018 to presentfactForm ADV
← C••••• J••• J•••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Jan 17, 2018 to presentfactForm ADV

Controls (1)

← P••••••• J•••• J•••••OwnerMANAGING MEMBER, ownership code E, individual

Dated events

Occurred
Jan 17, 2018
First Form ADV filing
R••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebed2a41-3089-216f-f810-0323b77bd709
First observed: Jan 17, 2018
Last observed: Jan 17, 2018 105 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.