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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••••• C•••••• A•••••••• L•••

CRD 161111

STAMFORD, CT

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Search this name across graphsid dfx:ria:56491b3d-60c2-1b84-43f6-a1ac937cb18c

Data as of Aug 26, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 0
On other graphs: 2
Observed: Feb 14, 2012 to Aug 26, 2016
36 observations

Across DFX

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

Private Equityidentity

S••••• C•••••• A•••••••• L•••

Private equity manager · shared crd

Private Creditidentity

S••••• C•••••• A•••••••• L•••

Private credit manager · 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: $354MItem 5.F on the latest filing (2016-08-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $354M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• G••••• M••••••••• L••	Hedge Fund	$9.4B	Mar 31, 2014	36	Feb 14, 2012	dropped	n/a
S••••• S••••• F•••• L••	Hedge Fund	$4.8B

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S•••••• A•••	CHIEF EXECUTIVE OFFICER	Na	yes	01/1992	Feb 14, 2012	Aug 26, 2016
C••••• S•••••• A•••	SOLE SHAREHOLDER	E	yes	10/2008	Feb 14, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$354M	$500M	-29.2%	$51B	-80.9%	10	10	n/a	n/a

Relationships

Advises (24)

→ 7• D••••••• C•••••• L•••Private fundOther Private Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••• D••••••• C•••••• F••••••• L•••Private fundOther Private Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ 7• O••••••• C•••••• L•••Private fundOther Private Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••• O••••••• C•••••• F••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56491b3d-60c2-1b84-43f6-a1ac937cb18c
First observed: Feb 14, 2012
Last observed: Aug 26, 2016 122 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.