DFX Intelligence

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

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

A• G••••• F••••• I••••••••• O•••••

CRD 159319

WEST PALM BEACH, FL

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Search this name across graphsid dfx:ria:eefcfa92-7a23-110c-8205-ece7e24c5c2d

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Aug 9, 2013 to Mar 29, 2018
9 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: $368M••• Locked
Discretionary RAUM: $289M
Private client RAUM: $368Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A• G••••• H•••••••• L••	Member	E	yes	02/2013	Aug 9, 2013	Mar 29, 2018
B•••••• S••••••• E•••••	Member	C	yes	01/2013	Aug 9, 2013	Mar 29, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A• G••••• A•••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
A• G••••• C••• F••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$368M	$423M	-13.1%	$255M	12.9%	8	8	0	n/a

Relationships

Controls (3)

← M••••••• A•••••• P••••••OwnerMEMBER, ownership code D, individual
Aug 9, 2013 to presentfactForm ADV
← B•••••• S••••••• E•••••OwnerMEMBER, ownership code C, individual
Aug 9, 2013 to presentfactForm ADV
← A• G••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Aug 9, 2013 to presentfactForm ADV

Owns (2)

← H•••••• A••• L••••OwnerMEMBER, ownership code NA, individual

Dated events

Occurred
Aug 9, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eefcfa92-7a23-110c-8205-ece7e24c5c2d
First observed: Aug 9, 2013
Last observed: Mar 29, 2018 103 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.