DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

B•••••• P•••••••• L••

CRD 157426

NEW YORK, NY

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Search this name across graphsid dfx:ria:3ed45c45-4337-8e77-94e2-30da98874e46

Data as of Mar 15, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Mar 15, 2017
11 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: $25.2M••• Locked
Discretionary RAUM: $25.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $12.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• J•• G••••••••	n/a	EAST HAMPTON, NY	2	21	1	no
L•••• N••••• S•••••••	Chartered Financial Analyst	EAST HAMPTON, NY	1	15

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••• U•••• D•••• S••••••••• L•	Hedge Fund	$2.2M	Oct 29, 2014	9	Mar 19, 2012	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• C••••• J••	COO, CCO, MANAGING MEMBER	D	yes	02/2011	Mar 19, 2012	Mar 15, 2017
S•••••••• L••••• N•••••	CIO, MANAGING MEMBER	D	yes	02/2011	Mar 19, 2012	Mar 15, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 15, 2017

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$25.2M	$36.2M	-30.2%	$102M	-37.3%	2	2	n/a	n/a

Relationships

Registered with (2)

← L•••• N••••• S•••••••Advisorregistration: current employment
Oct 7, 2024 to presentfactForm ADV
← C•••• J•• G••••••••Advisorregistration: current employment
Jul 15, 2024 to presentfactForm ADV

Controls (2)

← G••••••••• C••••• J••OwnerCOO, CCO, MANAGING MEMBER, ownership code D, individual
Mar 19, 2012 to presentfactForm ADV
← S•••••••• L••••• N•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ed45c45-4337-8e77-94e2-30da98874e46
First observed: Mar 19, 2012
Last observed: Mar 15, 2017 115 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.