DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

C••••••••• C•••••• P•••••••• L••

CRD 157451

WILTON, CT

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Search this name across graphsid dfx:ria:4ec505cc-7759-1502-f7be-c23d5432b431

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to Mar 29, 2018
21 observations

Across DFX

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

Private Equityidentity

C••••••••• C•••••• P•••••••• L••

Private equity manager · key crd, 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: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 38
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• G• H•••••••• L•••	GENERAL PARTNER	E	yes	07/2007	Feb 14, 2012	Mar 29, 2018
A•• H••••••• L•••	GENERAL PARTNER	E	yes	07/2007	Feb 14, 2012	Mar 29, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• C•••••• G•• L•••	n/a	n/a	n/a	N	yes	n/a
C••••••••• C•••••• G•• L•••	n/a	n/a	n/a	N	yes	n/a
C••••••••• C•••••• P••••••• F••• I• G•• L•••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CENTRAL H••• K•••	n/a	Hong Kong	13	no
S••••••••	n/a	Singapore	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.3B	$1.5B	-7.7%	$1.4B	-2.5%	38	39	4	n/a

Relationships

Controls (11)

← P••••• R•••••• D•••OwnerCO-GENERAL PARTNER, ownership code D, individual
Feb 14, 2012 to presentfactForm ADV
← G••••• A•••OwnerPARTNER, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← M••••••• M••••• A••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 29, 2017 to presentfactForm ADV
← C•••••• Y••• C•••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Feb 14, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ec505cc-7759-1502-f7be-c23d5432b431
First observed: Feb 14, 2012
Last observed: Mar 29, 2018 103 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.