DFX Intelligence

W••••••••• A••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

W••••••••• A••••••••• I•••

CRD 174159

PLAINSBORO, NJ

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Search this name across graphsid dfx:ria:30c98365-f55a-21a0-84fa-c2563382f0c8

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 1
Observed: Jan 2, 2015 to Mar 30, 2018
9 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

W••••••••• A••••••••• I•••

Venture manager · key crd, shared crd

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: $308M••• Locked
Discretionary RAUM: $308M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 50
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•• P••••• F••• •••• L•	Hedge Fund	$150M	Mar 30, 2018	2	Mar 30, 2018	reported	n/a
W•• F••• L•••	Hedge Fund	$31.1M	Jul 31, 2017

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• E•••••• K••••••	CHIEF OPERATIONS OFFICER OF VICTORY ASSET INC. (RELYING ADVISER)	Na	yes	03/2013	Jan 2, 2015	Mar 30, 2018
C••••• S•••••• R•	CHIEF FINANCIAL OFFICER	Na	yes	10/1996	Jan 2, 2015	Mar 30, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• D••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
W••••••••• E••••• L••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
JERSEY CITY	Nj	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 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
2017	$308M	$929M	-66.9%	n/a	n/a	50	46	1	n/a

Relationships

Advises (2)

→ P•• P••••• F••• •••• L•Private fundHedge Fund, IA
Mar 30, 2018 to presentfactForm ADV
→ W•• F••• L•••Private fundHedge Fund, IA
Mar 31, 2017 to presentfactForm ADV

Controls (9)

← C•••• E•••••• K••••••OwnerCHIEF OPERATIONS OFFICER OF VICTORY ASSET INC. (RELYING ADVISER), ownership code NA, individual
Jan 2, 2015 to presentfactForm ADV
← K••••• J•••••• A•

Dated events

Occurred
Jun 29, 2018
Ria registration c•••ge
••• Locked
Form ADVobserved today
Occurred
Mar 30, 2018
Ria raum c•••ge
••• Locked
Form ADVobserved 8 days ago
$-621M
Occurred
Jan 2, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30c98365-f55a-21a0-84fa-c2563382f0c8
First observed: Jan 2, 2015
Last observed: Mar 30, 2018 103 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.