DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S•••••••• C•••••• M••••••••• L•

CRD 157124

NEW YORK, NY

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Search this name across graphsid dfx:ria:53875446-d1a6-38f1-b9a8-f5e85240398f

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 6
On other graphs: 0
Observed: Feb 13, 2012 to Mar 31, 2026
29 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=true bd_reps=0.0
Regulatory AUM: $10B••• Locked
Discretionary RAUM: $10B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 43

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• I••••••••• M••••• F••• L•••	Hedge Fund	$6.6B	Mar 31, 2026	73	Feb 13, 2012	reported	021-127926
A••••••• S••••••••• L•••	Hedge Fund	$3.7B	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• Z••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2015	Mar 31, 2015	Mar 29, 2024
K••••• S•••••	CHIEF OPERATING OFFICER	Na	yes	01/2007	Feb 13, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• A••••••• 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

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	$10B	$8.5B	21.6%	$8.8B	5.7%	43	36	0	0

Relationships

Advises (7)

→ A••••••• S••••••••• L•••Private fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ S•••••••• I••••••••• M••••• F••• L•••Private fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ S•••••••• L••• C•••••• M••••• F•••• L•••Private fundOther Private Fund, IA
Mar 30, 2018 to presentfactForm ADV
→ S•••••••• L••• C••••••• L•••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$3.1B
Occurred
Mar 31, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:53875446-d1a6-38f1-b9a8-f5e85240398f
First observed: Feb 13, 2012
Last observed: Mar 31, 2026 5 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.