DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

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

CRD 156526

NEW YORK CITY, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6fa1cd07-3c3f-0209-62d0-1449135bdbf1

Data as of Mar 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jul 18, 2013 to Mar 21, 2019
13 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: $103MItem 5.F on the latest filing (2019-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
N••••••••• S••••• E••••• A••••••••• F•••• I•••• L••	Hedge Fund	$103M	Mar 21, 2019	3	Nov 20, 2013	reported	021-206026
L••••••• P••••••• ••••	Hedge Fund	$4.9M

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
H•••••• L•••••• P••••••	Partner	C	yes	01/2011	Jul 18, 2013	Mar 21, 2019
K••••• V••••	Partner	C	yes	01/2011	Jul 18, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••• S••••• E••••••• M•••••• I• G•••• L•	n/a	n/a	n/a	N	yes	n/a
P••• S••••• E••••••• M•••••• I• G••••• L••	n/a	n/a	n/a	N	yes	n/a
P••• S••••• E••••••• M•••••• I• M••• L••

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	$103M	$103M	-0.4%	$275M	-28.0%	4	4	0	0

Relationships

Advises (2)

→ N••••••••• S••••• E••••• A••••••••• F•••• I•••• L••Private fundHedge Fund, IA
Nov 20, 2013 to presentfactForm ADV
→ L••••••• P••••••• ••••Private fundHedge Fund, IA, no longer reported
Jan 14, 2014 to Mar 26, 2014factForm ADV

Controls (5)

← H•••••• L•••••• P••••••OwnerPARTNER, ownership code C, individual
Jul 18, 2013 to presentfactForm ADV
← M•••••• B••••• P•••••

Dated events

Occurred
Nov 22, 2013
Succession filed (Item 4)
P••• S••••• A••••••••• A•••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fa1cd07-3c3f-0209-62d0-1449135bdbf1
First observed: Jul 18, 2013
Last observed: Mar 21, 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.