DFX Intelligence

S••••• O•••• A•: 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••••• O•••• A•

CRD 138079

OSLO

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Data as of Mar 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 18, 2019
10 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: $288M••• Locked
Discretionary RAUM: $288M
Private client RAUM: $3.4Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• I••••••••• F•••• P••• S••••• S•••••••• I•	Hedge Fund	$36.9M	Mar 27, 2015	36	Mar 31, 2014	dropped	n/a
S••••• C•••••• F•••• P•• • S••••• G••••• E••••• K••••• F•••	Other Private Fund	$10.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• C••••••• G••••••	Director	C	yes	03/2007	Mar 29, 2012	Mar 18, 2019
A••••••••• C••••••• G••••••	SHAREHOLDER AND SPOUSE OF SHAREHOLDER	C	yes	07/2004	Mar 29, 2012	Mar 18, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• F••• S••••••• A•	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
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$288M	$315M	-8.6%	$102M	41.5%	3	3	0	0

Relationships

Controls (4)

← A••••••••• P••••• A••••••OwnerSHAREHOLDER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← A••••••••• C••••••• G••••••OwnerSHAREHOLDER AND SPOUSE OF SHAREHOLDER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← G•••• C•••••• A•OwnerSHAREHOLDER CLASS A, C AND D, ownership code C, foreign entity
Mar 29, 2012 to presentfactForm ADV
← S••••• A•••• M••••••••• A•OwnerSHAREHOLDER CLASS B, C AND D, ownership code C, foreign entity
Mar 29, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 18, 2019 91 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.