DFX Intelligence

Data Factory

T••••••••• G••••• I••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

T••••••••• G••••• I••••••••• L••

CRD 138476

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3d23b6fc-cde4-d316-a84a-374304685259

Data as of Sep 1, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Sep 1, 2016
20 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: $3.0BItem 5.F on the latest filing (2016-09-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.0B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••••••• G••••••••• S•••• M••••• F••• L••••••	Hedge Fund	$46.4M	Mar 30, 2012	28	Mar 30, 2012	dropped	021-106251
T••••••••• I••••••••• I••••••••• T•••• • T••••••••• G••••• A•••••• P••••••••	Other Private Fund

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• J••••••• P••••••	EXECUTIVE MANAGING DIRECTOR, PRESIDENT	Na	yes	03/2014	Mar 3, 2014	Sep 1, 2016
N••••• H•••••••• I•••	Shareholder	E	yes	11/2007	Mar 31, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••• A•••• M••••••••• L••	n/a	Mixed wealth	$280B	N	yes	n/a
N••••• F••• A•••••••• L••	n/a	Asset manager	$186B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no
Memphis	Tn	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$3.0B	$4.3B	-29.6%	$7.2B	-25.3%	42	42	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••• A•••• M••••••••• L••	3	Nov 30, 2016	Aug 26, 2016	LOS ANGELES, CA	Firm absorbed	Other	75.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• C•••••• M••••••••• L•••••	3	May 18, 2015	Mar 31, 2015	MEMPHIS, TN	Firm absorbed	Other	100.0%

Relationships

Affiliated with (8)

→ N••••• F••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ S••••••• A•••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ N•• I••••••••• M••••••••• C••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d23b6fc-cde4-d316-a84a-374304685259
First observed: Mar 30, 2012
Last observed: Sep 1, 2016 122 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.