DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

O•• B•••••• P••••••• L•••

CRD 157569

NEW YORK, NY

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Search this name across graphsid dfx:ria:56cbde6e-aab3-aea7-1021-d9c642c31470

Data as of May 13, 2026 (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: 24
Dated events: 2
On other graphs: 0
Observed: Feb 10, 2012 to May 13, 2026
37 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: $30.0M••• Locked
Discretionary RAUM: $30.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S• S•••••• S•••••••• M••••• F••• S••••••••• P•••••••• D••	Hedge Fund	$190M	May 8, 2019	12	Mar 30, 2017	dropped	021-247455
S• S•••••• S•••••••• F••• L•••••••• D•	Hedge Fund	$96.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• A••••••• D••	MANAGING MEMBER	E	yes	11/2006	Feb 10, 2012	May 15, 2024
C•••••• A••••••• D••	LIMITED PARTNER	C	yes	01/2007	Feb 10, 2012	May 15, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• M••••••••• L•	n/a	Asset manager	$464M	Y	yes	n/a
O•• B•••••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
S•••••• A••••••• L••

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	$30.0M	$31.9M	-6.1%	$28.0M	2.3%	12	12	0	0

Relationships

Affiliated with (2)

→ S•••••• M••••••••• L•Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
← S•••••• M••••••••• L•Registered adviserother investment adviser, bank, control, common control
factForm ADV

Advises (12)

→ S•••••• W•••••••• F••• L••••••••• A•Private fundHedge Fund, IA
Feb 10, 2012 to presentfactForm ADV
→

Dated events

Occurred
Mar 27, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-249M
Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-144M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56cbde6e-aab3-aea7-1021-d9c642c31470
First observed: Feb 10, 2012
Last observed: May 13, 2026 4 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.