DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

A•• D•••••• F••••• L••

CRD 171847

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4d83bf21-93b9-1d94-2433-51b7199b185a

Data as of Jun 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 7
On other graphs: 0
Observed: Jun 30, 2014 to Jun 9, 2026
35 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $426M••• Locked
Discretionary RAUM: $426M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•• D•••••• M••••••••• F••• L•	Hedge Fund	$18.0M	Mar 29, 2024	17	Jul 10, 2023	reported	021-484916
A•• M••••••••• B•••••• P•••••••• F••• L•	Hedge Fund	$0	Aug 12, 2016

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• M••••••••• L••	Member	D	yes	03/2015	Mar 29, 2016	Mar 29, 2024
L••••• T•••••	Manager	D	yes	02/2010	Jun 30, 2014	Mar 29, 2024
L••••• T•••••

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	$426M	$527M	-19.1%	$494M	-4.8%	10	9	0	0

Relationships

Advises (2)

→ A•• D•••••• M••••••••• F••• L•Private fundHedge Fund, IA
Jul 10, 2023 to presentfactForm ADV
→ A•• M••••••••• B•••••• P•••••••• F••• L•Private fundHedge Fund, IA, no longer reported
Jun 1, 2015 to Aug 12, 2016factForm ADV

Owns (1)

← G••••• J•••• H••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2022 to Mar 29, 2024factForm ADV

Controls (3)

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
A•• D•••••• F••••• L•• reported RAUM $381.9M, down 28% from $526.9M (2025-04-10 to 2026-03-30)
Form ADVobserved 7 days ago
$-145M
Occurred
Mar 30, 2023
Regulatory AUM changed
A•• D•••••• F••••• L•• reported RAUM $494.1M, down 49% from $960.5M (2022-03-29 to 2023-03-30)
Form ADVobserved 7 days ago
$-466M
Occurred
Mar 29, 2022
Regulatory AUM changed
A•• D•••••• F••••• L•• reported RAUM $960.5M, up 37% from $702.5M (2021-06-30 to 2022-03-29)
Form ADVobserved 7 days ago
$258M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d83bf21-93b9-1d94-2433-51b7199b185a
First observed: Jun 30, 2014
Last observed: Jun 9, 2026 3 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.