DFX Intelligence

A•••••••• I••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

A•••••••• I••••••••• I•••

CRD 156706

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Search this name across graphsid dfx:ria:73f42bb8-3899-d0a3-34ae-1360386a1451

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2012 to Mar 29, 2019
17 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: $99.0M••• Locked
Discretionary RAUM: $99.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• A•••••••• F•••• L•••	Hedge Fund	$87.4M	Mar 29, 2019	63	Feb 13, 2012	reported	021-129819

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• C••••••••• E• •• O••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Feb 13, 2012	Mar 29, 2019
M••••••• J•••• P••••••	President	E	yes	07/1993	Feb 13, 2012	Mar 29, 2019

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

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	$99.0M	$141M	-29.8%	$173M	-17.0%	2	2	1	1

Relationships

Advises (1)

→ T•• A•••••••• F•••• L•••Private fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV

Controls (2)

← M••••••• J•••• P••••••OwnerPRESIDENT, ownership code E, individual
Feb 13, 2012 to presentfactForm ADV
← M••••••• C••••••••• E• •• O••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 13, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73f42bb8-3899-d0a3-34ae-1360386a1451
First observed: Feb 13, 2012
Last observed: Mar 29, 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.