DFX Intelligence

S•••• C•••••• P•••••••• 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

S•••• C•••••• P•••••••• L••

CRD 171909

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:17c6bd15-4c40-6f19-5214-29c971307295

Data as of Sep 14, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 1, 2014 to Sep 14, 2016
7 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: $83.7M••• Locked
Discretionary RAUM: $83.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• M••••• F•••• L•	Hedge Fund	$70.7M	Sep 14, 2016	13	Jul 1, 2014	reported	021-228580
S•••• I••••••••• L•	Hedge Fund	$20.2M	Jan 25, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• C••••••• M••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2016	Sep 14, 2016	Sep 14, 2016
G••••••• A•••••• G•••	CHIEF FINANCIAL OFFICER	Na	yes	01/2015	Jul 1, 2015	Sep 14, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$83.7M	$60.2M	39.0%	n/a	n/a	2	9	n/a	n/a

Relationships

Advises (3)

→ S•••• I••••••••• L•Private fundHedge Fund, ERA
Jan 27, 2023 to presentfactForm ADV
→ S•••• M••••• F•••• L•Private fundHedge Fund, IA
Jul 1, 2014 to presentfactForm ADV
→ S•••• U••• G••••• E••••••• L••••••Private fundHedge Fund, IA
Mar 31, 2015 to presentfactForm ADV

Controls (3)

Dated events

Occurred
Jul 1, 2014
First Form ADV filing
Sword Partners, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17c6bd15-4c40-6f19-5214-29c971307295
First observed: Jul 1, 2014
Last observed: Sep 14, 2016 122 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.