DFX Intelligence

M•• A••••••• 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

M•• A••••••• L••

CRD 153968

NEW YORK, NY

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Search this name across graphsid dfx:ria:1194b940-8267-83cc-4074-f5158d4b6000

Data as of May 15, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to May 15, 2020
11 observations

Across DFX

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

Private Equityidentity

M•• A••••••• L••

Private equity manager · key crd, key sfn adviser, 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: $432M••• Locked
Discretionary RAUM: $432M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 64
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• O••••••••• F••• L••	Hedge Fund	$602M	Mar 30, 2012	48	Mar 30, 2012	dropped	n/a
M••••• O••••••••• F••• I• L•	Private Equity Fund	$198M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• R••••••• T•••••	CHIEF FINANCIAL OFFICER	Na	yes	07/2010	Mar 30, 2012	May 15, 2020
B•••• T•••• T••••	Member	C	yes	07/2011	Mar 31, 2015	May 15, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• C•••••• L••	n/a	Former SEC adviser	$1.8B	N	yes	n/a
S•• A••••••• L••	n/a	Former SEC adviser	$678M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$432M	$714M	-39.6%	$1.0B	-25.2%	64	67	0	1

Relationships

Affiliated with (9)

← S•• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← M••••• C•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ M••••• C•••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
May 15, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-283M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1194b940-8267-83cc-4074-f5158d4b6000
First observed: Mar 30, 2012
Last observed: May 15, 2020 77 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.