DFX Intelligence

F•••••••• C•••••• G•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

F•••••••• C•••••• G•••• L••

CRD 145920

GREENWICH, CT

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Data as of Apr 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 1
Observed: Apr 2, 2012 to Apr 21, 2020
17 observations

Across DFX

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

Private Equityidentity

F•••••••• C•••••• G•••• L••

Private equity manager · key_crd, 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: $42.8M••• Locked
Discretionary RAUM: $42.8M
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
F•••••••• M••••• F••• L••	Hedge Fund	$26.8M	Mar 30, 2026	24	Apr 2, 2012	reported	021-105321

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• Z••••••• R•••	M••••• O• F•••••••• C•••••• G•••• L••	C	yes	12/2006	Apr 2, 2012	Apr 21, 2020
K••••••••• M•••• A•	CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER	Na	yes	01/2020	Oct 10, 2013	Apr 21, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• C•••••• C•••	n/a	n/a	n/a	N	yes	n/a
F•••••••• G• 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
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$42.8M	$208M	-79.4%	$376M	-51.5%	4	6	0	0

Relationships

Advises (1)

→ F•••••••• M••••• F••• L••Private fundHedge Fund, ERA
Apr 2, 2012 to presentfactForm ADV

Controls (4)

← G•••••• Z••••••• R•••OwnerMEMBER OF F•••••••• C•••••• G•••• L••, ownership code C, individual
Apr 2, 2012 to presentfactForm ADV
← L•••••• S••••••• E••••OwnerMEMBER OF F•••••••• C•••••• G•••• L••, ownership code C, individual
Apr 2, 2012 to presentfactForm ADV
← L•••••• D••••• A••••Owner

Dated events

Occurred
Jun 16, 2023
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-165M
Occurred
Feb 26, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-139M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 2, 2012
Last observed: Apr 21, 2020 78 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.