DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A••••••••• Y•••• E••••••••• L••

CRD 304836

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Search this name across graphsid dfx:ria:46c3b239-9270-f188-9cd0-ca89f240043b

Data as of Mar 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Oct 9, 2019 to Mar 19, 2020
5 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
X• S••••••••• I••••••••• A•• T•••••• L••	Hedge Fund	$0	Mar 19, 2020	1	Oct 9, 2019	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• I••• M••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	06/2019	Oct 9, 2019	Mar 19, 2020

Affiliates (Item 7.A)

••• Locked

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

Relationships

Advises (1)

→ X• S••••••••• I••••••••• A•• T•••••• L••Private fundHedge Fund, IA
Oct 9, 2019 to presentfactForm ADV

Controls (1)

← L•••• I••• M••••••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 9, 2019 to presentfactForm ADV

Dated events

Occurred
Oct 9, 2019
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46c3b239-9270-f188-9cd0-ca89f240043b
First observed: Oct 9, 2019
Last observed: Mar 19, 2020 79 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.