DFX Intelligence

B••••• 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

B••••• L•

CRD 168341

GREENWICH, CT

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Data as of Sep 17, 2015 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 2
On other graphs: 0
Observed: Jul 25, 2013 to Sep 17, 2015
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: $294M••• Locked
Discretionary RAUM: $294M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••••• C•••••• P••••••• 1• L••	Hedge Fund	$275M	Sep 17, 2015	7	May 23, 2014	reported	021-217444

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• G• L••	GENERAL PARTNER	Na	yes	12/2013	Mar 31, 2014	Sep 17, 2015
C••••• C••••••• P••••	CO-MANAGING MEMBER	F	yes	12/2013	Jul 25, 2013	Sep 17, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• G• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$294M	$309M	-5.0%	n/a	n/a	12	17	n/a	n/a

Relationships

Advises (1)

→ B••••• C•••••• P••••••• 1• L••Private fundHedge Fund, IA
May 23, 2014 to presentfactForm ADV

Controls (11)

← F••••• N•••••• W•••••OwnerMANAGING MEMBER, ownership code F, individual
Jul 25, 2013 to presentfactForm ADV
← G•••••• C••••••• F•OwnerMANAGING MEMBER, ownership code F, individual
Jul 25, 2013 to presentfactForm ADV
← W••••••• M••••••• S••••••OwnerMANAGING MEMBER, ownership code F, individual

Dated events

Order

Occurred
31 Mar 2014
Succession filed (Item 4)
••• Locked
Form ADV
Occurred
25 Jul 2013
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 25, 2013
Last observed: Sep 17, 2015 134 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.

All 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H• T••••••••• L••	MANAGING MEMBER	C	yes	12/2013	May 12, 2015	Sep 17, 2015
L••• C•••••••• ••••••	CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER	Na	yes	07/2015	Jul 27, 2015	Sep 17, 2015
N•••••••• J•••••	CO-MANAGING MEMBER	F	yes	12/2013	Jul 25, 2013	Sep 17, 2015
N•••••••• J•••••	Owner	D	yes	12/2013	Jul 25, 2013	Sep 17, 2015
W••••••• M••••••• S••••••	LIMITED PARTNER	B	yes	05/2012	Jul 25, 2013	Sep 17, 2015
W••••••• M••••••• S••••••	MANAGING MEMBER	F	yes	12/2013	Jul 25, 2013	Sep 17, 2015