DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

C•••• C•••••• M••••••••• L•

CRD 160398

NEW YORK, NY

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Search this name across graphs

Data as of Jun 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 12
On other graphs: 0
Observed: Feb 14, 2012 to Jun 1, 2026
30 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 managerderived••• Locked
Regulatory AUM: $577M••• Locked
Discretionary RAUM: $577M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••• A•••• M••••• F•••• L••	Hedge Fund	$520M	Jun 1, 2026	16	Apr 30, 2020	reported	021-347091
C•••• F•••• I••••• M••••• F•••• L•	Hedge Fund	$57.7M	Jun 1, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• C•••••• M••••••••• G•• L••	GENERAL PARTNER	Na	yes	04/2014	May 15, 2015	Mar 28, 2024
H•• J••••• Y•	LIMITED PARTNER	B	yes	01/2012	Mar 26, 2013	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• C•••••• 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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$577M	$899M	-35.8%	$480M	6.3%	15	15	0	0

Relationships

Advises (3)

→ C•••• F•••• I••••• M••••• F•••• L•Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ C•••• A•••• M••••• F•••• L••Private fundHedge Fund, IA
Apr 30, 2020 to presentfactForm ADV
→ C•••• L••••••••• R••• E••••• M••••• F•••• L•Private fundHedge Fund, IA, no longer reported
Mar 29, 2016 to Mar 29, 2016factForm ADV

Owns (2)

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
1 Jun 2026
Ria private fund assets change
••• Locked
Form ADV
down $289M
Occurred
1 Jun 2026
Ria ownership band change3 events
C•••• C•••••• M••••••••• L•: ria ownership band change, 3 events, on 1 Jun 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
1 Jun 2026
Ria principal change
••• Locked
Form ADV
Occurred
31 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
down $322M
Occurred
13 Dec 2023
Regulatory AUM changed
••• Locked
Form ADV
$351M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Jun 1, 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$400M	$400M	16	7	n/a	1	$299M
2014	Mar 27, 2015	$534M	$534M	17	6	n/a	1	$429M
2013	Mar 12, 2014	$528M	$528M	15	4	n/a	1	$428M
2012	Mar 26, 2013	$408M	$408M	14	4	n/a	1	$408M