DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

C••••• W••• L••

CRD 109066

LAWRENCEVILLE, NJ

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Search this name across graphsid dfx:ria:edc17137-80c7-921e-8f05-ba297ec94364

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 9
On other graphs: 1
Observed: Mar 30, 2012 to Mar 27, 2026
16 observations

Across DFX

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

Allocatorsidentity

C••••• W•••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 30
Advisory employees: 7
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
C•••••• J••••• L•••	CHIEF EXECUTIVE OFFICER	D	yes	01/2022	Mar 30, 2012	Nov 4, 2024
D•••••• B••••• T•	Principal	A	yes	09/2008	Nov 4, 2024	Nov 4, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	30	30	0	0

Relationships

Controls (5)

← C•••••• J••••• L•••OwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Mar 30, 2012 to Nov 4, 2024factForm ADV
← V•• O••• T•••••••• W••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
May 31, 2022 to Nov 4, 2024factForm ADV
← S••••••• G•••• A••••OwnerPRINCIPAL, ownership code A, individual
May 31, 2022 to Nov 4, 2024factForm ADV
← K••••••• U••••••OwnerPRINCIPAL, ownership code A, individual
May 31, 2022 to Nov 4, 2024fact

Dated events

Occurred
Nov 4, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 4, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 11, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
May 31, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:edc17137-80c7-921e-8f05-ba297ec94364
First observed: Mar 30, 2012
Last observed: Mar 27, 2026 5 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.