DFX Intelligence

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

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

S••••• A•••••••• L••

CRD 286573

NEW YORK, NY

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Search this name across graphsid dfx:ria:f66c5b3f-d808-3945-4b61-2a192510c43f

Data as of Mar 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Apr 6, 2017 to Mar 27, 2024
15 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: $126M••• Locked
Discretionary RAUM: $126M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• G••••• I• L•	Other Private Fund	$3.6M	Apr 28, 2022	2	Apr 6, 2017	dropped	021-257871
S••••• I•••• S••••• L•	Other Private Fund	$2.1M	Mar 29, 2022

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• C••••• L•••	President	Na	yes	10/2021	Jun 28, 2019	Mar 27, 2024
J•••••• D••••• W••••••	CHIEF FINANCIAL OFFICER	Na	yes	06/2019	Jun 29, 2021	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• C•••••• M••••••••• G••••• I•••	n/a	Independent wealth	$257M	N	no	n/a
B• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
N•• V••••••• I•• M••••••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 27, 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
2023	$126M	$130M	-3.0%	$37.6M	49.7%	6	8	0	0

Relationships

Affiliated with (1)

→ C•• C•••••• M••••••••• G••••• I•••Registered adviserother investment adviser
factForm ADV

Controls (3)

← R••••• R•••• B••••••OwnerOWNER, CHIEF EXECUTIVE OFFICER, ownership code E, individual
Apr 6, 2017 to presentfactForm ADV
← J•••••• D••••• W••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 29, 2021 to presentfactForm ADV
← A•••••• C••••• L•••OwnerPRESIDENT, ownership code NA, individual

Dated events

Occurred
Jun 29, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 29, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 28, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 28, 2019
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f66c5b3f-d808-3945-4b61-2a192510c43f
First observed: Apr 6, 2017
Last observed: Mar 27, 2024 30 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.