DFX Intelligence

W•••••••• A•••• M••••••••• 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

W•••••••• A•••• M••••••••• L•••••

CRD 140092

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:498ed821-ced6-f858-36ed-d8cd8f645f63

Data as of Mar 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 28, 2017
9 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: $175M••• Locked
Discretionary RAUM: $175M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•••••••• C•••••• I••••••••• P•••••••• L•••	Hedge Fund	$609M	Jan 7, 2013	56	Mar 30, 2012	dropped	021-129310
W•••••••• C•••••• P•••••••• L•••	Hedge Fund	$221M	Jan 7, 2013

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• M••••••• F••••••	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	10/2011	Mar 30, 2012	Mar 28, 2017
M••••• M••••••• A•••	SENIOR MANAGING MEMBER	E	yes	04/2002	Mar 30, 2012	Mar 28, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W• 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
2016

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	$175M	$860M	-79.7%	$1.2B	-47.3%	7	22	n/a	n/a

Relationships

Advises (9)

→ W•••••••• C•••••• I••••••••• P••••••• I••• L•••Private fundHedge Fund, ERA
Mar 31, 2014 to presentfactForm ADV
→ W•••••••• C•••••• P••••••• ••••••••• M••••• F••• I••• L•••Private fundHedge Fund, ERA
Mar 31, 2015 to presentfactForm ADV
→ W•••••••• C•••••• P••••••• ••••••••• M••••• F••• I•• L•••Private fundHedge Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ W•••••••• C•••••• P••••••• ••••••••• M••••• F•••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:498ed821-ced6-f858-36ed-d8cd8f645f63
First observed: Mar 30, 2012
Last observed: Mar 28, 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.