DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

Q••••••• A•••••••• L••

CRD 158424

KNOXVILLE, TN

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Search this name across graphsid dfx:ria:3e613cbc-5689-af7f-5b33-61f27f9709fc

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Mar 30, 2015
6 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Q••••••• A•••••••• L••

Private equity manager · shared crd

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: $209M••• Locked
Discretionary RAUM: $209M
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
Q••••••• W••••• P••••••••• F•••• L•	Hedge Fund	$8.1M	Mar 30, 2015	12	Mar 29, 2012	reported	021-134988
Q••••••• F•••• L•	Hedge Fund	$997,389	Jun 27, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• P••••••• E•••••	Member	C	yes	07/2007	Mar 17, 2014	Mar 30, 2015
H••••••••• G•••••• L••••	CHIEF COMPLIANCE OFFICER	C	yes	03/2015	Mar 29, 2012	Mar 30, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•• C•••••• M••••••••• L••	n/a	Former SEC adviser	$400M	N	yes	n/a
Q••••••• P•••••••• 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
2014	Mar 30, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$209M	$178M	17.2%	$95.6M	29.8%	8	9	n/a	n/a

Relationships

Affiliated with (1)

→ B•• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ Q••••••• W••••• P••••••••• F•••• L•Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ Q••••••• F•••• L•Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV

Controls (4)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e613cbc-5689-af7f-5b33-61f27f9709fc
First observed: Mar 29, 2012
Last observed: Mar 30, 2015 139 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.