DFX Intelligence

S••••••• M••••••••• C••• 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

S••••••• M••••••••• C••• I•••

CRD 160461

NEW YORK, NY

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Search this name across graphsid dfx:ria:370174fb-bb1a-de74-27fd-f666734043f6

Data as of Mar 8, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Mar 8, 2018
14 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: $850M••• Locked
Discretionary RAUM: $850M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••• O••••••• F••• L•••	Hedge Fund	$378M	Mar 8, 2018	39	Feb 14, 2012	reported	021-95219
S••••••• C•••••• P•••••••• L•	Hedge Fund	$294M	Mar 8, 2018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• M••••••• G•••••	PORTFOLIO MANAGER AND CO-CHIEF EXECUTIVE OFFICER	D	yes	01/1995	Feb 14, 2012	Mar 8, 2018
S••••••••• P•••• C•••••	PORTFOLIO MANAGER AND CO-CHIEF EXECUTIVE OFFICER	D	yes	01/1995	Feb 14, 2012	Mar 8, 2018

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
PALM BEACH	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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	$850M	$1.1B	-20.1%	$4.2B	-41.2%	8	8	1	n/a

Relationships

Advises (8)

→ S••••••• I••••• O••••••••• F•••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••••• I••••• O••••••••• F•••• L•Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••••• C•••••• P••••••• I• L•Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••••• O••••••• F••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:370174fb-bb1a-de74-27fd-f666734043f6
First observed: Feb 14, 2012
Last observed: Mar 8, 2018 104 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.