DFX Intelligence

A••••••• I••••••••• 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 adviserformer SEC advisernot on rosterRAUM 100m 1b

A••••••• I••••••••• M••••••••• L••••••

CRD 155341

H••• K•••

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:7f43b497-3ad3-5508-63fd-44ee1d495428

Data as of May 30, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Nov 14, 2011 to May 30, 2019
15 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: $524M••• Locked
Discretionary RAUM: $524M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••• C•••• F•••	Other Private Fund	$36.8M	May 30, 2019	50	Mar 29, 2012	reported	n/a
R•••••••• F•••••• F•••	Hedge Fund	$34.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• C•••••• H••••••• L••••••	Owner	E	yes	09/2011	Nov 14, 2011	May 30, 2019
C•••• L•• S•• R••••••	CHIEF OPERATING OFFICER	Na	yes	05/2018	Jul 2, 2018	May 30, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• I••••••••• M••••••••• ••••••••• P••• L•••	n/a	Former SEC adviser	$203M	N	yes	n/a
A••••••• I••••••••• M••••••••• •••••••• 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	$524M	$882M	-40.6%	$613M	-5.1%	17	17	0	0

Relationships

Affiliated with (2)

→ A••••••• I••••••••• M••••••••• ••••••••• P••• L•••Registered adviserother investment adviser, common control
factForm ADV
← A••••••• I••••••••• M••••••••• ••••••••• P••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (4)

→ A••••••• C•••• F•••Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV
→

Dated events

Occurred
May 30, 2019
Ria raum c•••ge
A••••••• I••••••••• M••••••••• L•••••• reported RAUM $524.1M, down 41% from $881.8M (2018-07-02 to 2019-05-30)
Form ADVobserved 7 days ago
$-358M
Occurred
Jul 2, 2018
Ria raum c•••ge
A••••••• I••••••••• M••••••••• L•••••• reported RAUM $881.8M, up 82% from $485.5M (2017-06-21 to 2018-07-02)
Form ADVobserved 7 days ago
$396M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f43b497-3ad3-5508-63fd-44ee1d495428
First observed: Nov 14, 2011
Last observed: May 30, 2019 89 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.