DFX Intelligence

A••• I••••••••• 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

A••• I••••••••• M••••••••• L•

CRD 131845

NEW YORK, NY

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Search this name across graphsid dfx:ria:6e8eccf5-1b39-4a07-6b0d-2e4761112d76

Data as of Jun 17, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Mar 21, 2012 to Jun 17, 2013
3 observations

Across DFX

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

Private Equityidentity

A••• I••••••••• M••••••••• L•

Private equity manager · shared 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: $116M••• Locked
Discretionary RAUM: $116M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• O••••••• L•••••• L••••••••• F••• L•••	Hedge Fund	$11.2M	Mar 21, 2012	5	Mar 21, 2012	dropped	021-1418395
A••• L•••••• L••••••••• F••• L•	Hedge Fund	$2.3M	Apr 1, 2013

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• F••• M••••••••• L••	GENERAL PARTNER	E	yes	12/2002	Mar 21, 2012	Jun 17, 2013
A•••• J••••• N••••••••	SOLE AND MANAGING MEMBER	E	yes	12/2002	Mar 21, 2012	Jun 17, 2013

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 1, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$116M	$27.8M	318.0%	n/a	n/a	4	n/a	n/a	n/a

Relationships

Advises (3)

→ A••••••••• F••• P••••••• L•Private fundOther Private Fund, IA
Apr 1, 2013 to presentfactForm ADV
→ A••• L•••••• L••••••••• F••• L•Private fundHedge Fund, IA
Mar 21, 2012 to presentfactForm ADV
→ A••• O••••••• L•••••• L••••••••• F••• L•••Private fundHedge Fund, IA, no longer reported
Mar 21, 2012 to Mar 21, 2012factForm ADV

Controls (3)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e8eccf5-1b39-4a07-6b0d-2e4761112d76
First observed: Mar 21, 2012
Last observed: Jun 17, 2013 161 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.