DFX Intelligence

R•• M••••••••• 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

R•• M••••••••• L••

CRD 157085

NEW YORK, NY

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Search this name across graphsid dfx:ria:351edc1e-17fa-f96d-f4ff-cf3ce8e5bb0a

Data as of Sep 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 2, 2012 to Sep 29, 2017
7 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: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• I••••••••• H••••••• L••	Hedge Fund	$1.1B	Sep 29, 2017	43	May 2, 2012	reported	021-241964

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• K••••••• E••	CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER	Na	yes	01/2010	May 2, 2012	Sep 29, 2017
H•••••• M•••• ••••	CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER	Na	yes	01/2010	May 2, 2012	Sep 29, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• M•• 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
2017	Jun 29, 2017

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	$1.1B	$1.1B	5.9%	$745M	14.4%	14	14	n/a	n/a

Relationships

Advises (1)

→ R•• I••••••••• H••••••• L••Private fundHedge Fund, IA
May 2, 2012 to presentfactForm ADV

Controls (3)

← R••••• M•••• J••••••OwnerMANAGING MEMBER (OF R•• M•• L••), ownership code E, individual
May 2, 2012 to presentfactForm ADV
← G•••••••• K••••••• E••OwnerCHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER, ownership code NA, individual
May 2, 2012 to presentfactForm ADV
← H•••••• M•••• ••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:351edc1e-17fa-f96d-f4ff-cf3ce8e5bb0a
First observed: May 2, 2012
Last observed: Sep 29, 2017 109 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.