DFX Intelligence

N•• C•••••• C•••••• 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

N•• C•••••• C•••••• M••••••••• L••

CRD 134149

HINSDALE, IL

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Search this name across graphsid dfx:ria:13972516-2577-fecb-1365-e9752510b13d

Data as of Jan 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2011 to Jan 24, 2012
2 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: $4.2M••• Locked
Discretionary RAUM: $3.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 7
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••••• F••• L•	Hedge Fund	$1.5M	Jan 24, 2012	4	Jan 24, 2012	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• J••• R•	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER (10/2007)	E	yes	01/2005	Nov 7, 2011	Jan 24, 2012
V••••••• E••••• S••••••	TREASURER & DIRECTOR OF OPERATIONS	Na	yes	10/2007	Nov 7, 2011	Jan 24, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jan 24, 2012	$4.2M	$3.6M	n/a	n/a	n/a	1	$1.5M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$4.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (1)

→ E••••••• F••• L•Private fundHedge Fund, IA
Jan 24, 2012 to presentfactForm ADV

Controls (2)

← P•••••• J••• R•OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER (10/2007), ownership code E, individual
Nov 7, 2011 to presentfactForm ADV
← V••••••• E••••• S••••••OwnerTREASURER & DIRECTOR OF OPERATIONS, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13972516-2577-fecb-1365-e9752510b13d
First observed: Nov 7, 2011
Last observed: Jan 24, 2012 178 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.