DFX Intelligence

O•• C••••••• 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

O•• C••••••• L••

CRD 157535

NEW YORK, NY

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Search this name across graphsid dfx:ria:4c8b277f-7d78-36af-0bd9-3b14c37011c0

Data as of Mar 23, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Feb 13, 2012 to Mar 23, 2020
24 observations

Across DFX

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

Private Creditidentity

O•• C••••••• L••

Private credit manager · key 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: $25.6M••• Locked
Discretionary RAUM: $25.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•••••• S•••••• S••••••••• B••• F•••• L•••	Hedge Fund	$22.0M	Apr 3, 2012	8	Feb 13, 2012	dropped	021-125266
A•••••••• G••••• L•• L•••	Other Private Fund	$12.5M	Mar 23, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••••• M••••••	MEMBER; MEMBER OF BOARD OF MANAGERS; CHIEF INVESTMENT OFFICER	D	yes	06/2010	Feb 13, 2012	Mar 23, 2020
I••••••••• V••••	MEMBER; MEMBER OF BOARD OF MANAGERS; HEAD OF TRADING	B	yes	03/2012	Apr 3, 2012	Mar 23, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•• G•• 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
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$25.6M	$26.6M	-3.8%	$39.0M	-13.0%	3	3	0	0

Relationships

Advises (6)

→ A•••••••• G••••• L•• L•••Private fundOther Private Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ O•••••• S•••••• S••••••••• B••• M••••• F•••• L•••Private fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ O•••••• ••••Private fundOther Private Fund, IA, no longer reported
Feb 13, 2012 to Jun 29, 2018factForm ADV
→ O•••••• C••••••••• B••• O••••••••• F••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c8b277f-7d78-36af-0bd9-3b14c37011c0
First observed: Feb 13, 2012
Last observed: Mar 23, 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.