DFX Intelligence

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

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

A•••• A•••• M••••••••• ••••••• L•••

CRD 281967

GRAND C•••••

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Search this name across graphsid dfx:ria:10670653-7318-21bd-ab33-3cb140fa8e42

Data as of Aug 12, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 11, 2016 to Aug 12, 2016
5 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: $249M••• Locked
Discretionary RAUM: $249M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••• P•••• F••• ••••••• L•••	Hedge Fund	$17.5M	Mar 11, 2016	1	Mar 11, 2016	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• B•••••• A••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2016	Mar 11, 2016	Aug 12, 2016
L••••••• G•••• ••••	Director	Na	yes	06/2011	Mar 11, 2016	Aug 12, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• I••••••••• H••• K••• L••••••	n/a	Former SEC adviser	$124M	Y	yes	n/a

Relationships

Affiliated with (1)

→ A•••• I••••••••• H••• K••• L••••••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (3)

← L••••••• G•••• ••••OwnerDIRECTOR, ownership code NA, individual
Mar 11, 2016 to presentfactForm ADV
← N••••• F•••••• A•••OwnerDIRECTOR, ownership code NA, individual
Mar 11, 2016 to presentfactForm ADV
← C•••••••• B•••••• A••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 11, 2016
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10670653-7318-21bd-ab33-3cb140fa8e42
First observed: Mar 11, 2016
Last observed: Aug 12, 2016 123 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.