DFX Intelligence

S••••••• G•••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S••••••• G•••• M•••••••••

S••••••• G•••• M••••••••• LLC, CRD 157363

HUNTINGTON, NY

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Data as of May 23, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 12
On other graphs: 3
Observed: Feb 14, 2012 to May 23, 2025
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S••••••• G•••• M•••••••••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

S••••••• G•••• M•••••••••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

S••••••• G•••• M•••••••••

Private credit manager · key_crd, key_sfn_adviser, shared_crd

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: $176M••• Locked
Discretionary RAUM: $176M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K••••• S•••••• S••••••••• M••••• S•• L••• • C•••• A•	Hedge Fund	$117M	Mar 31, 2015	20	Feb 14, 2012	dropped	n/a
K••••• S•••••• S••••••••• I••••••••• S•• L••• • C•••• A•	Hedge Fund	$91.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• M•••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2022	Feb 25, 2022	Mar 27, 2024
B•••• A•••• A•••••	CHIEF FINANCIAL OFFICER	Na	yes	02/2022	Feb 25, 2022	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$176M	$177M	-0.7%	$404M	-24.2%	6	6	0	0

Relationships

Advises (15)

→ S••••••• L• L••Private fundPrivate Equity Fund, ERA
Mar 23, 2026 to presentfactForm ADV
→ S••••••••• I••••••••• S•• L••• • C•••• B•Private fundPrivate Equity Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ S••••••• I••••••••• P•••••••• L•••Private fundPrivate Equity Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ S••••••••• M••••• S•• L••• • C•••• B•

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
23 Mar 2026
Ria registration change
••• Locked
Form ADV
Occurred
23 Mar 2026
Ria private fund assets change
••• Locked
Form ADV
$-184M
Occurred
23 Mar 2026
Private fund first reported2 events
S••••••• G•••• M•••••••••: private fund first reported, 2 counterparties, on 23 Mar 2026
$6.1M to $42.7M
- ••• Locked$6.1M
- ••• Locked$42.7M
Occurred
23 Mar 2026
Private fund no longer reported
••• Locked
Form ADV
$2.9M
Occurred
23 Mar 2026
Ria principal change
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: May 23, 2025 16 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 15 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••••• P••••••• L• • C•••• B•	Private Equity Fund	$2.8M	Mar 23, 2026	2	Feb 14, 2012	reported	021-146494
S••••••• C••••• O••••••••• F••• I•• L•	Private Equity Fund	$2.8M	Mar 23, 2026	4	Mar 31, 2015	reported	021-228412
S••••••• I••••••••• P••••••• I••••••••• L•••	Private Equity Fund	$179,284	Mar 23, 2026	10	Feb 14, 2012	reported	n/a
S••••••• I••••••••• P•••••••• L•••	Private Equity Fund	$157,890	Mar 23, 2026	18	Feb 14, 2012	reported	n/a
S••• I••••••••• M••••• L•••	Private Equity Fund	$119,818	Mar 23, 2026	11	Apr 1, 2013	reported	n/a

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015	$570M	$570M	16	7	n/a	13	$1.1B
2013	Mar 31, 2014	$551M	$551M	15	7	n/a	10	$1.2B
2012	Apr 1, 2013	$490M	$490M	15	7	n/a	10	$1.0B