DFX Intelligence

T•••• 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 1b 10b

T•••• A••• M••••••••• L••

CRD 157497

NEW YORK, NY

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Data as of May 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to May 29, 2012
3 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: $2.6B••• Locked
Discretionary RAUM: $2.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 5
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•••• A••• O••••••• F•••• L•••	Hedge Fund	$1.3B	May 29, 2012	25	Feb 14, 2012	reported	021-40089
T•••• A••• F•••• L•••	Hedge Fund	$1.1B	May 29, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• P••••••• T•••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2006	Feb 14, 2012	May 29, 2012
H••••• S•••••••	MANAGING MEMBER	E	yes	11/2001	Feb 14, 2012	May 29, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••• A••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Relationships

Advises (3)

→ T•••• A••• O••••••• F•••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ T•••• A••• F•••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ T•••• A••• F••• O• F••••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV

Controls (4)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: May 29, 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.