DFX Intelligence

S••••• 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 100m 1b

S••••• A•••• M••••••••• L•

CRD 283861

RED BANK, NJ

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Search this name across graphsid dfx:ria:70fab8be-0e94-660e-ccb0-23f380820065

Data as of Apr 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 1
Observed: Aug 20, 2018 to Apr 12, 2019
4 observations

Across DFX

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

Private Creditidentity

S••••• A•••• M••••••••• L•

Private credit 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: $197M••• Locked
Discretionary RAUM: $197M
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
S••••• C••••• O••••••••• F•••• L••	Hedge Fund	$47.0M	Apr 12, 2019	12	Dec 17, 2018	reported	n/a
S••••• E••••• M••••• N•••••• F••• L•	Hedge Fund	$15.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• P•••• A••••••	LIMITED PARTNER/CHIEF INVESTMENT OFFICER	B	yes	10/2017	Aug 20, 2018	Apr 12, 2019
D••••••• R•••••• E••••	LIMITED PARTNER/PORTFOLIO MANAGER	B	yes	01/2016	Aug 20, 2018	Apr 12, 2019

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$227M	$227M	12	7	0	2	$62.0M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$197M	n/a	n/a	n/a	n/a	12	n/a	0	n/a

Relationships

Advises (2)

→ S••••• C••••• O••••••••• F•••• L••Private fundHedge Fund, IA
Dec 17, 2018 to presentfactForm ADV
→ S••••• E••••• M••••• N•••••• F••• L•Private fundHedge Fund, IA
Jul 15, 2016 to presentfactForm ADV

Controls (8)

← A•••••••• P•••• A••••••OwnerLIMITED PARTNER/CHIEF INVESTMENT OFFICER, ownership code B, individual
Aug 20, 2018 to presentfactForm ADV
← K••••• M••••••••• B••

Dated events

Occurred
Apr 12, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 17, 2018
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Aug 20, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70fab8be-0e94-660e-ccb0-23f380820065
First observed: Aug 20, 2018
Last observed: Apr 12, 2019 90 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.