DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

D• P••••••• L••

CRD 161177

L•••••

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Data as of May 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 11
On other graphs: 0
Observed: Sep 18, 2017 to May 29, 2026
24 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=false bd_reps=0.0
Regulatory AUM: $1.9B••• Locked
Discretionary RAUM: $1.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D• S••••••••• T•••••• M••••• F••• L••••••	Hedge Fund	$1.5B	May 29, 2026	45	Mar 27, 2012	reported	021-158386
D• S••••••••• T•••••• E•••• F••• L••••••	Hedge Fund	$304M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• U•••• M•••	GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	Na	yes	07/2012	Sep 18, 2017	Mar 25, 2024
c•••••• m••••••• b•••	CHIEF RISK OFFICER	Na	yes	03/2019	Mar 25, 2020	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••• S••••••••• T•••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••••• F••• 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
2023	Mar 25, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.9B	$1.4B	30.4%	$1.2B	15.5%	37	35	0	0

Relationships

Advises (6)

→ D• S••••••••• T•••••• M••••• F••• L••••••Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ D• S••••••••• T•••••• E•••• F••• L••••••Private fundHedge Fund, IA
Mar 29, 2018 to presentfactForm ADV
→ P••••• L••••• S••••• L•••Private fundHedge Fund, IA
Mar 16, 2012 to presentfactForm ADV
→ D• M•••• F••• L••••••

Dated events

Order

Occurred
29 May 2026
Ria private fund assets change
••• Locked
Form ADV
$695M
Occurred
29 May 2026
Private fund gav change
••• Locked
Form ADV
$652M
Occurred
29 May 2026
Private fund no longer reported
••• Locked
Form ADV
$7.0M
Occurred
20 Dec 2021
Control person left
••• Locked
Form ADV
Occurred
24 Mar 2021
Regulatory AUM changed
••• Locked
Form ADV
$-774M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 18, 2017
Last observed: May 29, 2026 3 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.