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P•••••••• A••••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

P•••••••• A••••••• G••••• I•••

CRD 129108

HAMILTON, NJ

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Search this name across graphsid dfx:ria:4b451af2-3e51-43c3-35ba-6828ed171210

Data as of Oct 23, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 1
Observed: Apr 2, 2012 to Oct 23, 2019
22 observations

Across DFX

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

Private Creditidentity

P•••••••• A••••••• G••••• I•••

Private credit 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: $95.4M••• Locked
Discretionary RAUM: $95.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••••• S••••• I••••• F•••• L••	Hedge Fund	$14.8M	Dec 6, 2016	32	Apr 2, 2012	dropped	021-187037
P•••••••• C••••• O••••••••• F•••• L••	Hedge Fund	$12.2M	Mar 24, 2017

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••• M•••••	CEO & CCO	E	yes	02/2006	Apr 2, 2012	Oct 23, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$95.4M	$239M	-60.0%	$667M	-47.7%	1	5	0	1

Relationships

Controls (1)

← S•••• M•••••OwnerCEO & CCO, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV

Affiliated with (1)

← P•••••••• INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (3)

→ P•••••••• C••••• O••••••••• F•••• L••Private fundHedge Fund, IA, no longer reported
Apr 2, 2012 to Mar 24, 2017factForm ADV

Dated events

Occurred
Oct 23, 2019
Control person left
A. Joy Sheehan (Vp & Chief Compliance Officer) no longer on Schedule A of P•••••••• A••••••• G••••• I••• (listed 2019-03-14, absent 2019-10-23)
Form ADVobserved 7 days ago
Occurred
Mar 14, 2019
Regulatory AUM changed
P•••••••• A••••••• G••••• I••• reported RAUM $95.4M, down 60% from $238.5M (2018-03-08 to 2019-03-14)
Form ADVobserved 7 days ago
$-143M
Occurred
Mar 14, 2019
Control person left
Edward Thomas Wojczak (President) no longer on Schedule A of P•••••••• A••••••• G••••• I••• (listed 2018-03-08, absent 2019-03-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b451af2-3e51-43c3-35ba-6828ed171210
First observed: Apr 2, 2012
Last observed: Oct 23, 2019 84 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.