DFX Intelligence

S••••• P•••••• I••••••••• I•••: 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••••• P•••••• I••••••••• I•••

CRD 105373

S•••••, NJ

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Search this name across graphsid dfx:ria:0f361ef8-5238-5662-5041-6c712858f460

Data as of Jul 11, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 5, 2012 to Jul 11, 2016
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: $234M••• Locked
Discretionary RAUM: $234M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• P•••••• I••••••••• I•• L•••	Hedge Fund	$71.4M	Mar 16, 2026	30	Mar 5, 2012	reported	021-1200373
S••••• P•••••• I••••••••• I• L•••	Hedge Fund	$32.5M	Mar 16, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••• J••••••• M•••••	President	D	yes	01/2008	Mar 5, 2012	Jul 11, 2016
K•••• R•••••• A••••	Chairman	Na	yes	01/2008	Mar 5, 2012	Jul 11, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 9, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$234M	$317M	-26.2%	$245M	-1.5%	7	8	n/a	n/a

Relationships

Advises (9)

→ S••••• P•••••• I••••••••• I•• L•••Private fundHedge Fund, ERA
Mar 5, 2012 to presentfactForm ADV
→ S••••• P•••••• I••••••••• I• L•••Private fundHedge Fund, ERA
Mar 5, 2012 to presentfactForm ADV
→ S•• M•• • E••••• F•••• L•Private fundHedge Fund, ERA
Mar 19, 2015 to presentfactForm ADV
→ S••••• P•••••• I••••••••• O••••••• L•••

Dated events

Occurred
Aug 26, 2016
Ria registration change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f361ef8-5238-5662-5041-6c712858f460
First observed: Mar 5, 2012
Last observed: Jul 11, 2016 124 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.