DFX Intelligence

C•••••• C•••••• M••••••••• G• 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

C•••••• C•••••• M••••••••• G• L••

CRD 149129

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:582774e7-4f8e-a4af-8735-f9b171c1a3df

Data as of Mar 4, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 24, 2012 to Mar 4, 2014
8 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: $137M••• Locked
Discretionary RAUM: $137M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• C•••••• M•••••• L•	Hedge Fund	$74.9M	Mar 4, 2014	11	May 24, 2012	reported	n/a
C•••••• C•••••• F•••••••• L•	Hedge Fund	$4.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• M•••• A••••••	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER	Na	yes	03/2010	May 24, 2012	Mar 4, 2014
S••••• B••••••• M••••••	MANAGING MEMBER	E	yes	05/2008	May 24, 2012	Mar 4, 2014

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 4, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$137M	$120M	13.9%	n/a	n/a	3	4	n/a	n/a

Relationships

Advises (2)

→ C•••••• C•••••• M•••••• L•Private fundHedge Fund, IA
May 24, 2012 to presentfactForm ADV
→ C•••••• C•••••• F•••••••• L•Private fundHedge Fund, IA
May 24, 2012 to presentfactForm ADV

Owns (1)

← P••••• S••••• C•••••• M••••••••• L••OwnerSHAREHOLDER, ownership code B, domestic entity
Sep 25, 2012 to presentfactForm ADV

Controls (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:582774e7-4f8e-a4af-8735-f9b171c1a3df
First observed: May 24, 2012
Last observed: Mar 4, 2014 152 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.