DFX Intelligence

F•••••• L••• 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 under $100M

F•••••• L••• A•••• M••••••••• L••

CRD 111539

NEW YORK, NY

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Search this name across graphsid dfx:ria:1253e6e0-b255-256b-9a85-878fcdd50234

Data as of Jan 17, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2012 to Jan 17, 2014
19 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: $85.9M••• Locked
Discretionary RAUM: $81.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••••• O••••••••• F••• L•	Hedge Fund	$17.6M	Jan 17, 2014	40	Apr 3, 2012	reported	021-186632
T••• T•••• R••••• F•••• L•	Hedge Fund	$4.6M	Jan 17, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••• U•• J••••• M•••••• A••••	Member	E	yes	11/2013	Nov 11, 2013	Jan 17, 2014
D••••••• A•••••• M••••	CHIEF COMPLIANCE OFFICER & TRUSTEE	Na	no	02/2013	Oct 28, 2013	Jan 17, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••• L••• A•••• M••••••••• L••	n/a	Former SEC adviser	$85.9M	Y	yes	n/a
F•••••• L••• S••••••••• L•••	n/a	n/a	n/a	Y	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	n/a	no
EAST HAMPTON	NY	United States	n/a	no
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 1, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$85.9M	$195M	-56.0%	n/a	n/a	14	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ F•••••• L••• A•••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Advises (6)

→ O••••• O••••••••• O••••••• F••• L•••Private fundHedge Fund, IA
Apr 3, 2012 to presentfactForm ADV
→ T••• T•••• R••••• F•••• L•Private fundHedge Fund, IA
Jun 7, 2012 to presentfactForm ADV
→

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1253e6e0-b255-256b-9a85-878fcdd50234
First observed: Apr 3, 2012
Last observed: Jan 17, 2014 154 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.