DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

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

CRD 173549

NEW YORK, NY

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Search this name across graphsid dfx:ria:7d9e988d-88f6-6970-7cff-add9de8927b7

Data as of Apr 24, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Nov 3, 2014 to Apr 24, 2019
18 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: $13B••• Locked
Discretionary RAUM: $645M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R••• P•••••• I••••••••• M••••••••• C•••••• M••••••••• F••• L••	Hedge Fund	$300M	Jan 25, 2017	3	Mar 10, 2016	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• A•••••• S•••	MANAGING DIRECTOR	Na	yes	01/2017	Jan 25, 2017	Apr 24, 2019
C••••••••• C••••••••• J•••	MANAGING DIRECTOR	Na	yes	05/2016	Jun 2, 2016	Apr 24, 2019

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	$13B	$18B	-29.6%	$1.6B	100.3%	8	9	0	0

Relationships

Controls (6)

← C••••••••• C••••••••• J•••OwnerMANAGING DIRECTOR, ownership code NA, individual
Jun 2, 2016 to presentfactForm ADV
← N•••••••• M••••••• L••••••OwnerCHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER, ownership code C, individual
Nov 3, 2014 to presentfactForm ADV
← L••••• E•••••• C•OwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, ownership code B, individual
Nov 3, 2014 to presentfactForm ADV
← B••••• A•••••• S•••OwnerMANAGING DIRECTOR, ownership code NA, individual
Jan 25, 2017 to present

Dated events

Occurred
Mar 27, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-5.3B
Occurred
Mar 21, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$4.0B
Occurred
Nov 3, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d9e988d-88f6-6970-7cff-add9de8927b7
First observed: Nov 3, 2014
Last observed: Apr 24, 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.