DFX Intelligence

L•••• H•••••• • C••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

L•••• H•••••• • C••• I•••

CRD 8041

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0bb19175-3425-ae04-66ae-846441bc0437

Data as of Mar 16, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2012 to Mar 16, 2018
13 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: $267M••• Locked
Discretionary RAUM: $267M
Private client RAUM: $267Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• G•••• F•••• L•••	Hedge Fund	$27.3M	Apr 14, 2016	16	Apr 10, 2012	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• M•••••• J••••	PRESIDENT, TREASURER, CCO	E	yes	08/1979	Jan 25, 2012	Mar 16, 2018
F••••••• R•••••• M•••	Finop	Na	no	06/2016	Feb 16, 2017	Mar 16, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

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	$267M	$278M	-4.0%	$216M	7.3%	6	6	0	n/a

Relationships

Owns (1)

← F••••••• R•••••• M•••OwnerFINOP, ownership code NA, individual
Feb 16, 2017 to presentfactForm ADV

Controls (1)

← H••••••• M•••••• J••••OwnerPRESIDENT, TREASURER, CCO, ownership code E, individual
Jan 25, 2012 to presentfactForm ADV

Advises (1)

→ T•• G•••• F•••• L•••Private fundHedge Fund, IA, no longer reported
Apr 10, 2012 to Apr 14, 2016factForm ADV

Registered with (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bb19175-3425-ae04-66ae-846441bc0437
First observed: Jan 25, 2012
Last observed: Mar 16, 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.