DFX Intelligence

C•••• H••• C•••••• P•••••••• 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•••• H••• C•••••• P•••••••• L••

CRD 134068

NEW YORK, NY

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Data as of May 11, 2012 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 1
Observed: Feb 14, 2012 to May 11, 2012
2 observations

Across DFX

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

Private Equityidentity

C•••• H••• C•••••• P•••••••• L••

Private equity manager · same 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: $214M••• Locked
Discretionary RAUM: $214M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 10
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••• H••• C•••••• P••••••• M••••• F•••• L•••	Hedge Fund	$34.8M	Aug 6, 2012	6	Feb 14, 2012	reported	021-126475
T•••••••• C•••••• P••••••• M••••• F•••• L•	Hedge Fund	$2.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• C••••••• G•••••	LIMITED PARTNER	C	yes	01/2005	Feb 14, 2012	May 11, 2012
C••••••••• C••••••• G•••••	Manager	Na	yes	01/2005	Feb 14, 2012	May 11, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• H••• C•••••• G• I• L••	n/a	n/a	n/a	N	yes	n/a
C•••• H••• C•••••• G• I•• L••	n/a	n/a	n/a	N	yes	n/a
C•••• H••• F••• M••••••••• L••	n/a

Relationships

Advises (3)

→ C•••• H••• M••••••• O••••••••• M••••• F•••• L•••Private fundPrivate Equity Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ C•••• H••• C•••••• P••••••• M••••• F•••• L•••Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ T•••••••• C•••••• P••••••• M••••• F•••• L•Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV

Controls (6)

Dated events

Order

Occurred
6 Aug 2012
Ria registration change
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: May 11, 2012 174 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.