DFX Intelligence

S•••••••• A•••• M••••••••• 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•••••••• A•••• M••••••••• L••

CRD 159065

GREAT NECK, NY

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Search this name across graphsid dfx:ria:5ee66a1f-f638-3bd6-8069-8a438b970693

Data as of May 5, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 2
On other graphs: 0
Observed: Jan 31, 2012 to May 5, 2022
24 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: $276M••• Locked
Discretionary RAUM: $276M
Private client RAUM: $211Mderived••• Locked
Private client share: 76%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• • M•••• I••••• I•••••••• S••••••••• S•••••	Hedge Fund	$30.1M	May 5, 2022	63	Jan 31, 2012	reported	021-84085
S•• • A•••• E••••• A••••••••• S••••••••• S•••••	Hedge Fund	$17.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• A•••• M••••••••• C•••••••••	Member	E	yes	01/2012	Jan 31, 2012	May 5, 2022
A••••• M•••••• L•••••••	MAJORITY SHAREHOLDER	E	yes	11/1995	Jan 31, 2012	May 5, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$276M	$268M	2.9%	$261M	1.8%	10	10	0	0

Relationships

Advises (16)

→ S•• • A•••• E••••• A••••••••• S••••••••• S•••••Private fundHedge Fund, IA
Jan 31, 2012 to presentfactForm ADV
→ S•• • M•••• A••••••••• S••••••••• S•••••Private fundHedge Fund, IA
Jan 31, 2012 to presentfactForm ADV
→ S•• • M•••• I••••• I•••••••• S••••••••• S•••••Private fundHedge Fund, IA
Jan 31, 2012 to presentfactForm ADV
→ S•• • A••• S••••••••• S•••••

Dated events

Occurred
May 6, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 31, 2012
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ee66a1f-f638-3bd6-8069-8a438b970693
First observed: Jan 31, 2012
Last observed: May 5, 2022 53 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.