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C••••••• P•••••••• L••••• I••••••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C••••••• P•••••••• L••••• I••••••••• M•••••••••

CRD 107855

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Search this name across graphsid dfx:ria:6efe294f-45da-5a6e-da5e-8acd39d42c42

Data as of Mar 31, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to Mar 31, 2019
16 observations

Across DFX

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

Private Equityidentity

C••••••• P•••••••• L••••• I••••••••• M•••••••••

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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
V••••• E••••• F•••• L•	Hedge Fund	$288M	Nov 9, 2018	63	Mar 30, 2012	reported	021-128620
V••••• E••••• F•••• L•••	Hedge Fund	$111M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
1•••• I•• •••••••• E•• C•••••••••	CLASS A UNITHOLDER	C	yes	09/1995	Mar 30, 2012	Mar 31, 2019
B•••••• S•••••• J••	PRINCIPAL, MANAGEMENT COMMITTEE MEMBER AND UNITHOLDER	B	yes	10/2002	Mar 30, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	$1.8B	n/a	$2.3B	n/a	2	15	0	1

Relationships

Controls (10)

← B•••••• S•••••• J••OwnerPRINCIPAL, MANAGEMENT COMMITTEE MEMBER AND UNITHOLDER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← W•••••••• R•••• H••••OwnerPRINCIPAL, ACTING CHIEF INVESTMENT OFFICER, SR. EQUITY PORTFOLIO MANAGER, MANAGEMENT COMMITTEE MEMBER AND UNITHOLDER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← V•••••••• R•••••• A•OwnerPRINCIPAL, CHAIRMAN OF MANAGEMENT COMMITTEE, MEMBER UNITHOLDER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← C••••••• T••••••• W••••••OwnerPRINCIPAL, VICE CHAIRMAN OF MANAGEMENT COMMITTEE,AND UNITHOLDER, ownership code A, individual

Dated events

Occurred
May 9, 2018
Regulatory AUM changed
C••••••• P•••••••• L••••• I••••••••• M••••••••• reported RAUM $878.4M, down 52% from $1.8B (2018-03-30 to 2018-05-09)
Form ADVobserved 7 days ago
$-934M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6efe294f-45da-5a6e-da5e-8acd39d42c42
First observed: Mar 30, 2012
Last observed: Mar 31, 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.