DFX Intelligence

C••••••• C••••• I••••••••: 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••••• I••••••••

CRD 111878

STAMFORD, CT

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Search this name across graphsid dfx:ria:55e75e7d-582c-7383-3c03-ca958c92e51d

Data as of Jun 2, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to Jun 2, 2020
22 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: $2.3B••• Locked
Discretionary RAUM: $2.3B
Private client RAUM: $6.9Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•• H••••••••• P••••••• D••••••••• M••••• F•••• L•••	Hedge Fund	$203M	Mar 31, 2017	140	Mar 30, 2012	dropped	n/a
C•• H••••••••• P••••••• G••••••• L•	Hedge Fund	$53.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• L••	GENERAL PARTNER	E	yes	06/1999	Mar 30, 2012	Jun 2, 2020
F••• C•••••••• G•	SENIOR MANAGING DIRECTOR	Na	yes	01/2000	Mar 30, 2012	Jun 2, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••••• G••••• I••••••••• L••	n/a	Other adviser	$428B	Y	yes	n/a
C•• C•••••• P•••••••• 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	$2.3B	$3.6B	-35.1%	$8.2B	-34.4%	33	35	0	0

Relationships

Affiliated with (9)

← FINISTERRE CAPITAL LLPRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ P•••••••• A•••• M•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
← P•••••••• FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← FINISTERRE MALTA LIMITEDRegistered adviser

Dated events

Occurred
Mar 20, 2020
Regulatory AUM changed
C••••••• C••••• I•••••••• reported RAUM $2.3B, down 35% from $3.6B (2019-03-29 to 2020-03-20)
Form ADVobserved 7 days ago
$-1.3B
Occurred
Mar 20, 2020
Control person left
Anthony Rizza (Senior Managing Director) no longer on Schedule A of C••••••• C••••• I•••••••• (listed 2019-03-29, absent 2020-03-20)
Form ADVobserved 7 days ago
Occurred
Mar 20, 2020
Control person left
Frank Cuttita (Senior Managing Director, Chief Administrative Officer) no longer on Schedule A of C••••••• C••••• I•••••••• (listed 2019-03-29, absent 2020-03-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55e75e7d-582c-7383-3c03-ca958c92e51d
First observed: Mar 30, 2012
Last observed: Jun 2, 2020 76 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.