DFX Intelligence

S•••••• R•••• F••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S•••••• R•••• F••• M••••••••• L••

CRD 161538

NEW YORK, NY

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Search this name across graphsid dfx:ria:845e969a-bb74-9673-a606-08dad31819e1

Data as of Jul 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 5
On other graphs: 0
Observed: Feb 13, 2012 to Jul 2, 2026
24 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=false bd_reps=0.0
Regulatory AUM: $905M••• Locked
Discretionary RAUM: $905M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D•••••• M••••• F••• L•	Hedge Fund	$561M	Apr 25, 2024	201	Feb 13, 2012	reported	021-187830
S•••••• R•••• P••••••• I•• L•	Hedge Fund	$294M	Mar 26, 2013

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•••••• S••••••• M••••••	MANAGING MEMBER	E	yes	11/2002	Feb 13, 2012	Apr 25, 2024
Z•••• R•••••• L•	CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER	Na	yes	10/2006	Feb 13, 2012	Apr 25, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Kirkland	Wa	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$905M	$845M	7.1%	$643M	12.1%	9	9	1	1

Relationships

Advises (9)

→ S•••••• R•••• P••••••• L•Private fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ D•••••• M••••• F••• L•Private fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ S•••••• R•••• M••••• F••• L•Private fundHedge Fund, IA, no longer reported
Feb 13, 2012 to Apr 27, 2021factForm ADV
→ D•••••• F••• L••Private fund

Dated events

Occurred
Mar 28, 2023
Regulatory AUM changed
S•••••• R•••• F••• M••••••••• L•• reported RAUM $643.0M, down 48% from $1.2B (2022-07-25 to 2023-03-28)
Form ADVobserved 7 days ago
$-585M
Occurred
Mar 25, 2021
Regulatory AUM changed
S•••••• R•••• F••• M••••••••• L•• reported RAUM $1.2B, up 38% from $861.1M (2020-04-14 to 2021-03-25)
Form ADVobserved 7 days ago
$331M
Occurred
Mar 30, 2020
Regulatory AUM changed
S•••••• R•••• F••• M••••••••• L•• reported RAUM $861.1M, up 37% from $630.3M (2019-04-15 to 2020-03-30)
Form ADVobserved 7 days ago
$231M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:845e969a-bb74-9673-a606-08dad31819e1
First observed: Feb 13, 2012
Last observed: Jul 2, 2026 2 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.