DFX Intelligence

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

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

D•• M••••• A•••••

D•• M••••• A••••• L••••••, CRD 309515

DUBLIN

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Search this name across graphsid dfx:ria:fd81592a-3674-be66-82a3-9157e79018c8

Data as of Jun 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 0
Observed: Jun 25, 2020 to Jun 25, 2020
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: $474M••• Locked
Discretionary RAUM: $474M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• C••••••••• B•••• L••• ••••••••	Shareholder	E	yes	09/2019	Jun 25, 2020	Jun 25, 2020
C••••• C••••••••• M•••• 1• L••• ••••••••	Shareholder	E	yes	09/2019	Jun 25, 2020	Jun 25, 2020

Relationships

Controls (11)

← P••••••••• J••••OwnerCEO & EXECUTIVE DIRECTOR, ownership code NA, individual
Jun 25, 2020 to presentfactForm ADV
← R•••• K••••OwnerHEAD OF TRADE EXECUTION & EXECUTIVE DIRECTOR, ownership code NA, individual
Jun 25, 2020 to presentfactForm ADV
← H•••••• K••••OwnerCIO & EXECUTIVE DIRECTOR, ownership code NA, individual
Jun 25, 2020 to presentfactForm ADV
← C••••• C••••••••• B•••• L••• ••••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Jun 25, 2020 to present

Dated events

Occurred
Jun 25, 2020
First Form ADV filing
D•• M••••• A••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd81592a-3674-be66-82a3-9157e79018c8
First observed: Jun 25, 2020
Last observed: Jun 25, 2020 76 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.