DFX Intelligence

S•••• H•••••• G•••••• 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

S•••• H•••••• G•••••• L•

CRD 170989

NEW YORK, NY

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Search this name across graphsid dfx:ria:1c9595d8-fbec-c21b-69bb-c277b98f5346

Data as of Mar 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 15, 2014 to Mar 23, 2016
6 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: $277M••• Locked
Discretionary RAUM: $277M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• H•••••• G••••• E••••••• M••••• L•	Hedge Fund	$277M	Mar 23, 2016	30	May 15, 2014	reported	021-221542

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• C••• K•	MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER	Na	yes	10/2015	Sep 18, 2015	Mar 23, 2016
G•••••• S•••• R•••••	MANAGING MEMBER	E	yes	10/2013	May 15, 2014	Mar 23, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• H•••••• G••••• E••••••• 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
2015	Mar 23, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$277M	$143M	93.1%	n/a	n/a	9	10	n/a	n/a

Relationships

Advises (1)

→ S•••• H•••••• G••••• E••••••• M••••• L•Private fundHedge Fund, IA
May 15, 2014 to presentfactForm ADV

Controls (4)

← G•••••• S•••• R•••••OwnerMANAGING MEMBER, ownership code E, individual
May 15, 2014 to presentfactForm ADV
← U•••••• E••••••••• S•••••OwnerMANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 6, 2015 to presentfactForm ADV
← C•••• C••• K•Owner

Dated events

Occurred
May 15, 2014
First Form ADV filing
S•••• H•••••• G•••••• L• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c9595d8-fbec-c21b-69bb-c277b98f5346
First observed: May 15, 2014
Last observed: Mar 23, 2016 127 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.