DFX Intelligence

S••••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S••••• C•••••• M••••••••• L••

CRD 161985

NEW YORK, NY

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Search this name across graphsid dfx:ria:479eb720-2c9c-f6ee-542f-8f1d9514da30

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 5
On other graphs: 1
Observed: May 17, 2016 to Mar 30, 2026
17 observations

Across DFX

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

Venture Capitalidentity

S••••• C•••••• M••••••••• L••

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $634M••• Locked
Discretionary RAUM: $619M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• P•••••••• L•	Hedge Fund	$849M	Mar 28, 2024	215	Mar 30, 2012	reported	021-235999
S••••• S•••••• L•	Hedge Fund	$43.6M	Mar 28, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••••••• J••••••• N••	MANAGING MEMBER	E	yes	02/2003	May 17, 2016	Mar 28, 2024
R••••••• R•••••• E•••••	Stockholder	D	yes	01/1983	May 17, 2016	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• M••••••••• C••••••• 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
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$634M	$869M	-27.0%	$925M	-11.8%	5	5	0	0

Relationships

Advises (6)

→ S••••• P•••••••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S•• P•••••••• L••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S••••• S•••••• L•Private fundHedge Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ S••••• O••••••••• I• L•Private fund

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
S••••• C•••••• M••••••••• L•• reported RAUM $633.8M, down 27% from $868.7M (2025-03-28 to 2026-03-30)
Form ADVobserved 7 days ago
$-235M
Occurred
Mar 31, 2022
Regulatory AUM changed
S••••• C•••••• M••••••••• L•• reported RAUM $934.7M, up 35% from $690.8M (2021-11-08 to 2022-03-31)
Form ADVobserved 7 days ago
$244M
Occurred
Mar 31, 2021
Regulatory AUM changed
S••••• C•••••• M••••••••• L•• reported RAUM $690.8M, up 35% from $512.7M (2020-05-04 to 2021-03-31)
Form ADVobserved 7 days ago
$178M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:479eb720-2c9c-f6ee-542f-8f1d9514da30
First observed: May 17, 2016
Last observed: Mar 30, 2026 5 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.