DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

O•••• A•••••••••

CRD 106867

NEW YORK, NY

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Search this name across graphsid dfx:ria:0846e6e8-c846-6ce7-52ab-1970e26dc9a6

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 1
Observed: Mar 28, 2012 to Mar 29, 2018
18 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

O•••• A•••••••••

Private credit manager · shared crd

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: $4.4B••• Locked
Discretionary RAUM: $4.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•••• C••••••••• P••••••••• L•••	Hedge Fund	$1.1B	Nov 13, 2017	2	Aug 10, 2012	reported	n/a
O•••• E••••• I••••••••• L•••	Hedge Fund	$815M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• L•••• G•	CHIEF EXECUTIVE OFFICER AND PRESIDENT	E	yes	08/1991	Mar 28, 2012	Mar 29, 2018
B••••• D••••• N••	CHIEF OPERATING OFFICER	Na	no	06/2013	Aug 29, 2013	Mar 29, 2018

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	$4.4B	$6.1B	-28.4%	$11B	-26.9%	33	35	0	n/a

Relationships

Advises (7)

→ O•••• O••••••• P•••••••• L•••Private fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ O•••• E••••• I••••••••• L•••Private fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ O•••• C••••• O••••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Aug 29, 2013 to presentfactForm ADV
→ O•••• C•••••• I••••••••• L•••

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-1.9B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0846e6e8-c846-6ce7-52ab-1970e26dc9a6
First observed: Mar 28, 2012
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.