DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

S•• C•••••• M••••••••• L••

CRD 165989

NEW YORK, NY

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Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Apr 26, 2013 to Mar 18, 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=false bd_reps=0.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• P•••••••• L•	Hedge Fund	$394M	Mar 18, 2026	60	Apr 26, 2013	reported	021-89849
S•• P••••••• O•••••••• L•••	Hedge Fund	$291M	Mar 18, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• M••••••• B••••••	MANAGING MEMBER	E	yes	03/2006	Apr 26, 2013	Mar 26, 2024
D•••••••• J••••• Z••	CHIEF EXECUTIVE OFFICER	Na	yes	07/2015	Jul 21, 2015	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	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	$1.3B	$1.1B	13.8%	$1.1B	6.7%	13	14	1	1

Relationships

Advises (6)

→ S•• P••••••• O•••••••• L•••Private fundHedge Fund, IA
Apr 26, 2013 to presentfactForm ADV
→ S•• P•••••••• L•Private fundHedge Fund, IA
Apr 26, 2013 to presentfactForm ADV
→ S•• S•••••• L••Private fundHedge Fund, IA, no longer reported
Mar 7, 2022 to Mar 7, 2022factForm ADV
→ S•• P••••••• M••••• F•••• L•Private fund

Dated events

Occurred
Mar 26, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$341M
Occurred
Mar 15, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$248M
Occurred
Mar 7, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 16, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 26, 2013
Last observed: Mar 18, 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.