DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S•••••• C•••••• P••••••• L•

CRD 157360

NEW YORK, NY

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Search this name across graphsid dfx:ria:17278d78-a9d3-9817-9afd-329f8a88857d

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 17
On other graphs: 0
Observed: Feb 14, 2012 to Mar 27, 2026
35 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: $16B••• Locked
Discretionary RAUM: $16B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 39

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••• M••••• F••• L•	Hedge Fund	$8.3B	Jan 31, 2019	347	Feb 14, 2012	dropped	n/a
S•••••• L••• O••• E••••• M••••• F••• L•	Hedge Fund	$6.5B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••• L••	Member	E	yes	01/2015	Jan 29, 2015	Aug 23, 2024
E••• L••	LIMITED PARTNER	E	yes	12/2023	Jan 29, 2015	Aug 23, 2024
F•••••••• S••••• J••••

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Aspen	Co	United States	4	no

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
2025	$16B	$9.6B	63.5%	$11B	11.3%	39	40	1	1

Relationships

Advises (21)

→ S•••••• O••••••••• F••• I•• L••Private fundHedge Fund, IA
May 1, 2021 to presentfactForm ADV
→ S•••••• O••••••••• C••••• F••• I•• L•Private fundHedge Fund, IA
May 1, 2021 to presentfactForm ADV
→ S•••••• L••• O••• E••••• F••• L••Private fundHedge Fund, IA
Aug 23, 2024 to presentfactForm ADV
→ S•••••• L••• O••• E••••• C••••• F••• L••

Dated events

Occurred
Mar 27, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$6.1B
Occurred
Mar 27, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$1.2B
Occurred
Mar 27, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$-1.2B
Occurred
Mar 27, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17278d78-a9d3-9817-9afd-329f8a88857d
First observed: Feb 14, 2012
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.