DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

A••• C•••••• M••••••••• L•

CRD 169616

ENGLEWOOD CLIFFS, NJ

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 8
On other graphs: 0
Observed: Jan 7, 2014 to Mar 31, 2026
22 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• C•••••• P•••••••• L•	Hedge Fund	$1.0B	Mar 31, 2026	60	Nov 8, 2013	reported	021-204535
A••• C•••••• P••••••• C•••••••• I• L•	Other Private Fund	$124M	Mar 29, 2019

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• G•• L••	GENERAL PARTNER	Na	yes	01/2015	Feb 27, 2015	Mar 29, 2024
B••••• S••••••• M••••••	LIMITED PARTNER AND CHIEF INVESTMENT OFFICER	C	yes	01/2015	Jan 7, 2014	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• C•••••• P••••••• •••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Leawood	Ks	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.0B	$1.5B	-30.8%	$1.1B	-0.4%	5	5	1	0

Relationships

Advises (4)

→ A••• C•••••• P•••••••• L•Private fundHedge Fund, IA
Nov 8, 2013 to presentfactForm ADV
→ A••• C•••••• P••••••• C•••••••• I•• L•Private fundOther Private Fund, IA, no longer reported
Mar 30, 2016 to Mar 29, 2019factForm ADV
→ A••• C•••••• P••••••• C•••••••• I• L•Private fundOther Private Fund, IA, no longer reported
Feb 27, 2015 to Mar 29, 2019factForm ADV
→ A••• C•••••• P••••••• C•••••••• I••• L•

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-463M
Occurred
Mar 31, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Mar 29, 2024

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 7, 2014
Last observed: Mar 31, 2026 5 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.