DFX Intelligence

B•••••••• W••••••••• F•••••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

B•••••••• W••••••••• F•••••••• A••••••• I••

CRD 104625

COLUMBIA, MD

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Search this name across graphsid dfx:ria:eeee1e47-8703-2f97-2292-b7e1ee306ca6

Data as of Feb 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2012 to Feb 27, 2012
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: $277M••• Locked
Discretionary RAUM: $277M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 376
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• R••••••• S••••	President	D	yes	12/2004	Feb 27, 2012	Feb 27, 2012
C•••••• R•••••• W•••••	CHIEF COMPLIANCE OFFICER	C	yes	09/1996	Feb 27, 2012	Feb 27, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 27, 2012	$277M	$277M	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	$277M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← W•••••••• R•••••• L•• G•••••OwnerPORTFOLIO MANAGER/SHAREHOLDER, ownership code B, individual
Feb 27, 2012 to presentfactForm ADV
← C•••••• R•••••• W•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Feb 27, 2012 to presentfactForm ADV
← B•••••••• R••••••• S••••OwnerPRESIDENT, ownership code D, individual
Feb 27, 2012 to presentfactForm ADV

Registered with (2)

← J••• C••••••••• K••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eeee1e47-8703-2f97-2292-b7e1ee306ca6
First observed: Feb 27, 2012
Last observed: Feb 27, 2012 177 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.