DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

C•••••• ••••••••• L••••••

CRD 311614

MIDTOWN, QUEENSWAY

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Search this name across graphsid dfx:ria:27378c42-22e4-118c-01ce-f88294ecee6b

Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 8
On other graphs: 0
Observed: Jun 30, 2026 to Jun 30, 2026
1 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=true bd_reps=0.0
Regulatory AUM: $4.8B••• Locked
Discretionary RAUM: $4.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• C•••••• T••••••• O••••••••• M••••• F••• L••••••	Hedge Fund	$231M	Jun 30, 2026	25	Mar 31, 2022	reported	021-405055

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• C•••••• L•	Owner	E	yes	06/2020	Jun 30, 2026	Jun 30, 2026
M••••••• Z•••••••	DIRECTOR OF RISK MANAGEMENT, AND HEAD OF INTERNAL AUDIT	Na	yes	09/2020	Jun 30, 2026	Jun 30, 2026

Relationships

Advises (1)

→ C•••••• C•••••• T••••••• O••••••••• M••••• F••• L••••••Private fundHedge Fund, IA
Mar 31, 2022 to presentfactForm ADV

Controls (4)

← M••••••• Z•••••••OwnerDIRECTOR OF RISK MANAGEMENT, AND HEAD OF INTERNAL AUDIT, ownership code NA, individual
Jun 30, 2026 to presentfactForm ADV
← P••••• A••••OwnerDIRECTOR, ownership code NA, individual
Jun 30, 2026 to presentfactForm ADV
← W•••• K••••••• A••Owner

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 30, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jun 30, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jun 30, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27378c42-22e4-118c-01ce-f88294ecee6b
First observed: Jun 30, 2026
Last observed: Jun 30, 2026 2 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.