DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

V••••• C•••••• A•••••••• L••

CRD 139119

NEW YORK, NY

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Search this name across graphsid dfx:ria:182732ad-44ba-1347-fd0f-1c9372be7ff0

Data as of May 10, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to May 10, 2013
4 observations

Across DFX

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

Private Equityidentity

V••••• C•••••• A•••••••• L••

Private equity manager · 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: $163M••• Locked
Discretionary RAUM: $163M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
V••••• O••••••••• M••••• F•••• L••	Hedge Fund	$81.0M	Dec 10, 2014	153	Mar 30, 2012	reported	021-136033
V••••• O••••••••• C•••• L•	Other Private Fund	$14.0M	Mar 30, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• A•••• D••••	SENIOR MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	C	yes	06/2005	Mar 30, 2012	May 10, 2013
C••••• T•••• L••••••	TRUSTEE TO T•••• R••• T••••	Na	yes	06/2006	Mar 30, 2012	May 10, 2013

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 22, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$163M	$243M	-33.2%	n/a	n/a	14	n/a	n/a	n/a

Relationships

Advises (2)

→ V••••• O••••••••• M••••• F•••• L••Private fundHedge Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ V••••• O••••••••• C•••• L•Private fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Mar 30, 2012factForm ADV

Controls (4)

← S•••• L•••OwnerGENERAL COUNSEL/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← B•••••••• A•••• D••••

Dated events

Occurred
Feb 25, 2014
Ria registration change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:182732ad-44ba-1347-fd0f-1c9372be7ff0
First observed: Mar 30, 2012
Last observed: May 10, 2013 162 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.