DFX Intelligence

T•••• Z••• T•••• 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 under $100M

T•••• Z••• T•••• C•••••• P•••••••• L••

CRD 138117

CHICAGO, IL

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Search this name across graphsid dfx:ria:4f01642f-a299-9424-12b1-5aaef9032f72

Data as of Mar 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Mar 23, 2012
1 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: $66.3M••• Locked
Discretionary RAUM: $66.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 4
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••••• T•••••• I•• L••	Hedge Fund	$23.2M	Mar 27, 2020	6	Mar 23, 2012	reported	021-138049
3•• E••••• T•••••• G••••• L••	Hedge Fund	$9.2M	Jun 5, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• E•••••• J•••••	Officer	Na	yes	07/2004	Mar 23, 2012	Mar 23, 2012
D•••••••• P••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2009	Mar 23, 2012	Mar 23, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••••• M••••••••• L••	n/a	Former SEC adviser	$21.1M	Y	yes	n/a
O•••••• F••• S••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 23, 2012	$66.3M	$66.3M	n/a	n/a	n/a	4	$66.3M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$66.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (5)

→ N••••••• T•••••• I•• L••Private fundHedge Fund, ERA
Mar 23, 2012 to presentfactForm ADV
→ 3•• P••••••••• T•••••• L••Private fundHedge Fund, ERA
Mar 23, 2012 to presentfactForm ADV
→ E•••••••• I••••••••• L••Private fundHedge Fund, ERA
Mar 23, 2012 to presentfactForm ADV
→ G• E••••• T••••••• L••Private fund

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f01642f-a299-9424-12b1-5aaef9032f72
First observed: Mar 23, 2012
Last observed: Mar 23, 2012 176 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.