DFX Intelligence

F•••••• 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 100m 1b

F•••••• C•••••• P•••••••• L••

CRD 162958

JUPITER, FL

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Search this name across graphsid dfx:ria:19d21009-5ec9-b0ab-5240-5d17af252fe6

Data as of Mar 24, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 19, 2013 to Mar 24, 2021
19 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: $151M••• Locked
Discretionary RAUM: $151M
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
F•••••• O••••••••• F•••• L•••	Hedge Fund	$39.9M	Mar 24, 2021	12	Mar 27, 2012	reported	021-391384
F•••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$0	Mar 27, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•••••• N•••• A•	MANAGING MEMBER	E	yes	09/2005	Dec 19, 2013	Mar 24, 2021
P••••••• L•••• N•	Member	Na	no	01/2012	Dec 19, 2013	Mar 24, 2021

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$151M	$191M	-21.0%	$145M	1.3%	6	6	0	0

Relationships

Advises (2)

→ F•••••• O••••••••• F•••• L•••Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ F•••••• O••••••••• M••••• F•••• L•••Private fundHedge Fund, ERA, no longer reported
Mar 27, 2012 to Mar 27, 2012factForm ADV

Controls (1)

← W•••••• N•••• A•OwnerMANAGING MEMBER, ownership code E, individual
Dec 19, 2013 to presentfactForm ADV

Owns (2)

Dated events

Occurred
Dec 19, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19d21009-5ec9-b0ab-5240-5d17af252fe6
First observed: Dec 19, 2013
Last observed: Mar 24, 2021 66 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.