DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

R•••• B•••• C••••••• L••

CRD 160373

NEW YORK, NY

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Search this name across graphsid dfx:ria:1ac08000-98e1-8bcb-fec7-501c5fa6a1cc

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2012 to Mar 29, 2019
12 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: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••• B•••• M••••• F•••• L•	Hedge Fund	$19.2M	Feb 1, 2024	56	Feb 14, 2012	reported	n/a
R•••• B•••• I••••••••• L•••	Hedge Fund	$9.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• M•••••• G•••••	CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER	Na	yes	05/2011	Feb 14, 2012	Mar 29, 2019
K•••• J•••• A••••••••	MANAGING MEMBER	D	yes	01/2010	Feb 14, 2012	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••• B•••• C•••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
R•••• B•••• C•••••• P••••••• G•• 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
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$1.1B	$1.7B	-34.5%	$1.5B	-8.4%	8	17	0	1

Relationships

Advises (4)

→ R•••• B•••• I••••••••• L•••Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ R•••• B•••• M••••• F•••• L•Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ R•••• B•••• P•••••••• L•Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ P• R•••• B•••• L•••Private fund

Dated events

Occurred
Mar 29, 2019
Regulatory AUM changed
R•••• B•••• C••••••• L•• reported RAUM $1.1B, down 35% from $1.7B (2018-03-29 to 2019-03-29)
Form ADVobserved 7 days ago
$-593M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ac08000-98e1-8bcb-fec7-501c5fa6a1cc
First observed: Feb 14, 2012
Last observed: Mar 29, 2019 91 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.