DFX Intelligence

B•••••••• 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

B•••••••• A••••••• L••

CRD 140719

CHICAGO, IL

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Data as of Dec 9, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 20
On other graphs: 0
Observed: Feb 4, 2015 to Dec 9, 2022
34 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: $126M••• Locked
Discretionary RAUM: $126M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••••• G••••• M••••••• L•	Hedge Fund	$15.0M	Mar 30, 2015	10	Feb 4, 2015	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C••••• R••••••	CHIEF LEGAL OFFICER / SECRETARY	Na	yes	09/2019	Oct 2, 2019	Dec 9, 2022
C••••••• S••••••• E••••••	CHIEF FINANCIAL OFFICER/SENIOR VICE PRESIDENT	Na	yes	12/2022	Dec 9, 2022	Dec 9, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••• T•••• I••••••••• I•••••••••	n/a	Asset manager	$1245B	Y	yes	n/a
N••••••• T•••• G••••• I••••••••• L••	n/a	Asset manager	$208B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$126M	$110M	14.2%	$1.9B	-59.7%	28	21	1	1

Relationships

Affiliated with (4)

→ N••••••• T•••• I••••••••• I•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ N••••••• T•••• G••••• I••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ 5• S•••• C•••••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N••••••• T•••• S••••••••• I••

Dated events

Order

Occurred
9 Dec 2022
Control person joined
••• Locked
Form ADV
Occurred
9 Dec 2022
Control person left
••• Locked
Form ADV
Occurred
30 Sep 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
9 Jun 2022
Control person joined2 events
B•••••••• A••••••• L••: control person joined, 2 events, on 9 Jun 2022
- ••• Locked
- ••• Locked
Occurred
9 Jun 2022
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 4, 2015
Last observed: Dec 9, 2022 46 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.