DFX Intelligence

S••• E••••• P•••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S••• E••••• P•••••••• L•

CRD 283613

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:15e9157b-8754-a448-3728-225766b06f8c

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 14
On other graphs: 0
Observed: Oct 28, 2016 to Mar 27, 2026
20 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=true bd_reps=0.0
Regulatory AUM: $1.9B••• Locked
Discretionary RAUM: $1.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• L••• O••••••••• L•	Hedge Fund	$1.1B	Mar 27, 2026	74	Feb 28, 2024	reported	021-492763
S••• P•••••••• L•	Hedge Fund	$889M	Mar 27, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
2••• G•• A•• D••••••• S•••• F••••• T••••	Owner	E	yes	03/2016	Oct 28, 2016	Mar 27, 2024
A•••••••• J•••••••• K••••	CHIEF OPERATING OFFICER	Na	yes	11/2022	Nov 22, 2022	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	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	$1.9B	$2.1B	-9.1%	$2.5B	-8.1%	15	15	0	1

Relationships

Advises (2)

→ S••• L••• O••••••••• L•Private fundHedge Fund, IA
Feb 28, 2024 to presentfactForm ADV
→ S••• P•••••••• L•Private fundHedge Fund, IA
Oct 28, 2016 to presentfactForm ADV

Controls (7)

← L•••••••• J••••• D••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 22, 2022 to Mar 27, 2024factForm ADV
← S••••• G••• N••Owner

Dated events

Occurred
Mar 27, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Mar 27, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$-1.1B
Occurred
Mar 27, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$639M
Occurred
Mar 27, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15e9157b-8754-a448-3728-225766b06f8c
First observed: Oct 28, 2016
Last observed: Mar 27, 2026 6 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.