DFX Intelligence

H•••• T••••• A•••••••• 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

H•••• T••••• A•••••••• L•

CRD 155025

BOSTON, MA

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Data as of Jun 7, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2012 to Jun 7, 2013
8 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: $1.6B••• Locked
Discretionary RAUM: $1.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••• C•••••• A••••••• R••••• E••••• M••••• F•••• L•••	Hedge Fund	$21.0M	Mar 28, 2013	11	Jan 11, 2012	reported	021-162660

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• G••••	MANAGING MEMBER	F	yes	08/2010	Jan 11, 2012	Jun 7, 2013
H•••• T••••• A•••••••• L••	GENERAL PARTNER	Na	yes	08/2010	Jan 11, 2012	Jun 7, 2013

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$1.6B	$1.8B	-13.6%	n/a	n/a	7	n/a	n/a	n/a

Relationships

Controls (6)

← K•••••••• J••••••• K•••••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 7, 2013 to presentfactForm ADV
← D••••• G••••OwnerMANAGING MEMBER, ownership code F, individual
Jan 11, 2012 to presentfactForm ADV
← H••••• R•••••• J•OwnerMANAGING MEMBER, ownership code D, individual
Jan 11, 2012 to presentfactForm ADV
← K•••••••• P••••• W•••••OwnerCHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, ownership code NA, individual
Jun 7, 2013 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 11, 2012
Last observed: Jun 7, 2013 161 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.