DFX Intelligence

F••••• H••• A•••• M••••••••• L•: 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 1b 10b

F••••• H••• A•••• M••••••••• L•

CRD 174323

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 graphs

Data as of Jul 18, 2018 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 0
Observed: Dec 23, 2014 to Jul 18, 2018
8 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: $1.6B••• Locked
Discretionary RAUM: $1.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 89
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F••••• H••• P••••••• M••••• F••• L•	Hedge Fund	$1.2B	Jul 18, 2018	148	Jun 8, 2015	reported	021-234865

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• H••• A•••• M••••••••• L••	GENERAL PARTNER	Na	yes	09/2014	Dec 23, 2014	Jul 18, 2018
F•••••••• B••••• P•••	ELECTED MANAGER	F	yes	08/2014	Dec 23, 2014	Jul 18, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••••••• I••••••••• A•••••••• L••	n/a	Asset manager	$3.1B	N	yes	n/a
L••••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$990M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HONG KONG	n/a	Hong Kong	12	no
Boston	Ma	United States	9	no
Singapore	n/a	Singapore	6	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018

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	$1.6B	$1.7B	-5.5%	n/a	n/a	89	83	3	n/a

Relationships

Affiliated with (4)

→ L••••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ J•••••••• C•••••• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ L••••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ M• S•••••• L••Registered adviser

Dated events

Order

Occurred
23 Dec 2014
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 23, 2014
Last observed: Jul 18, 2018 99 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.

All 11 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• M••••••• B•••••••	AUTHORIZED PERSON	Na	yes	07/2018	Jul 18, 2018	Jul 18, 2018