DFX Intelligence

G••••• P•••••••• M••••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G••••• P•••••••• M••••••••• L•••

CRD 147328

NEW YORK, NY

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Search this name across graphsid dfx:ria:f7804802-5199-1477-5231-94abee56eb73

Data as of Mar 5, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2012 to Mar 5, 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Accounts: 0
SEC number: 801-72227
CRD: 147328

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• J•••••••• L•	CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	04/2008	Mar 5, 2012	Mar 5, 2012

Relationships

Controls (1)

← E••••••• J•••••••• L•OwnerCEO, PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 5, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7804802-5199-1477-5231-94abee56eb73
First observed: Mar 5, 2012
Last observed: Mar 5, 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.