DFX Intelligence

Data Factory

N••••• 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 adviserasset managerSEC registeredRAUM 1b 10b

N••••• M••••••••• L••

CRD 161156

NEW YORK, 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:7dd7d688-c4a2-c69a-8c1d-f79faaa568f7

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Feb 14, 2012 to Mar 27, 2026
33 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $2.1BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.1B
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••••• T• P•••••••• L•	Hedge Fund	$792M	Oct 15, 2024	42	Feb 14, 2012	reported	021-178300
N••••• P•••••••• L•	Hedge Fund	$767M

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
A•••• N••••	CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	02/2014	Feb 20, 2014	Oct 15, 2024
D••••••••• E•••••	MANAGING MEMBER	C	yes	07/2011	Feb 14, 2012

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
N••••• C•••••• P•••••••• L•	n/a	n/a	n/a	N	yes	n/a

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
2025	$2.1B	$1.6B	25.6%	$1.2B	20.8%	12	12	0	0

Relationships

Advises (3)

→ N••••• O••••••• P•••••••• L•••Private fundHedge Fund, IA
Mar 31, 2020 to presentfactForm ADV
→ N••••• T• P•••••••• L•Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ N••••• P•••••••• L•Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV

Controls (3)

← L•••• N•••• G••••••

Dated events

Occurred
Mar 27, 2026
Regulatory AUM changed
N••••• M••••••••• L•• reported RAUM $2.1B, up 26% from $1.6B (2025-11-17 to 2026-03-27)
Form ADVobserved 7 days ago
$421M
Occurred
Mar 28, 2024
Regulatory AUM changed
N••••• M••••••••• L•• reported RAUM $1.6B, up 33% from $1.2B (2023-04-25 to 2024-03-28)
Form ADVobserved 7 days ago
$383M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7dd7d688-c4a2-c69a-8c1d-f79faaa568f7
First observed: Feb 14, 2012
Last observed: Mar 27, 2026 5 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.