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S•••••••• 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•••••••• L•

CRD 282123

NEW YORK, NY

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Search this name across graphsid dfx:ria:2a63136a-1ba9-a523-a292-3a8866d1040c

Data as of Apr 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 3
On other graphs: 0
Observed: Nov 30, 2015 to Apr 1, 2020
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: $350MItem 5.F on the latest filing (2020-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $350M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• E••••••••• M••••• F••• L•••	Hedge Fund	$185M	Apr 1, 2020	43	Mar 17, 2016	reported	021-255454

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• R•••• ••••	LIMITED PARTNER / GENERAL PARTNER	E	yes	04/2015	Nov 30, 2015	Apr 1, 2020
C••••••• R•••• ••••	Principal	Na	yes	04/2015	Nov 30, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• F•••• G• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$350M	$605M	-42.1%	$254M	11.3%	6	6	1	1

Relationships

Advises (1)

→ S•••••••• E••••••••• M••••• F••• L•••Private fundHedge Fund, IA
Mar 17, 2016 to presentfactForm ADV

Controls (8)

← S••••••• J••••••• E•••OwnerCHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 30, 2015 to presentfactForm ADV
← H•••• S••••• M•••••OwnerLIMITED PARTNER / GENERAL PARTNER, ownership code E, individual
Nov 30, 2015 to presentfactForm ADV
← Z••••• G•••••• ••••Owner

Dated events

Occurred
Apr 1, 2020
Regulatory AUM changed
S•••••••• L• reported RAUM $350.0M, down 42% from $604.6M (2019-03-29 to 2020-04-01)
Form ADVobserved 6 days ago
$-255M
Occurred
Mar 29, 2019
Regulatory AUM changed
S•••••••• L• reported RAUM $604.6M, up 73% from $349.6M (2018-03-26 to 2019-03-29)
Form ADVobserved 6 days ago
$255M
Occurred
Nov 30, 2015
First Form ADV filing
S•••••••• L• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a63136a-1ba9-a523-a292-3a8866d1040c
First observed: Nov 30, 2015
Last observed: Apr 1, 2020 78 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.