DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

E••• P••• C•••••• M••••••••• L•••

CRD 156930

NEW YORK, NY

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Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 1
On other graphs: 3
Observed: Feb 7, 2012 to Mar 29, 2018
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

E••• P••• C•••••• M••••••••• L•••

Private equity manager · same CRD, same SEC file number

Private Creditidentity

E••• P••• C•••••• M••••••••• L•••

Private credit manager · same CRD, same SEC file number

Allocatorsidentity

E••• P••• C•••••• M••••••••• L•••

Manager with allocator commitments · same CRD, same SEC file number

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: $496M••• Locked
Discretionary RAUM: $496M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E• O••••••••• F••• I•• L•••	Hedge Fund	$559M	Jul 11, 2017	2	Aug 11, 2015	reported	n/a
C••••• O••••••••• M••••• F••• I•• L•••	Hedge Fund	$478M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• M••••	CHIEF OPERATING OFFICER, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	A	yes	03/2005	Feb 7, 2012	Mar 29, 2018
E••• P••• C•••••• M••••••••• L••	GENERAL PARTNER	Na	yes	05/2004	Feb 7, 2012	Mar 29, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E• C••••• O••••••••• A••••••••• L•••	n/a	n/a	n/a	N	yes	n/a
E• C••••• O••••••••• L•••••	n/a	n/a	n/a	N	yes	n/a
E• O••••••••• A••••••••• I•• L•••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$496M	$11B	-95.6%	$15B	-67.9%	21	106	0	n/a

Relationships

Advises (13)

→ E• C••••• O••••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Feb 7, 2012 to presentfactForm ADV
→ E••• P••• F•••• L•••Private fundHedge Fund, IA
Feb 7, 2012 to presentfactForm ADV
→ E• O••••••••• H•••••••• L•••••Private fundHedge Fund, IA
Aug 11, 2015 to presentfactForm ADV
→ E••• P••• E••••••• M•••••• M••••• F•••• L•••

Dated events

Order

Occurred
29 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
down $10.8B

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 7, 2012
Last observed: Mar 29, 2018 103 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.

All 13 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E• C••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$1.5M	Mar 29, 2018	2	Feb 7, 2012	reported	n/a
E• O••••••••• H•••••••• L•••••	Hedge Fund	$1.0M	Mar 29, 2018	1	Aug 11, 2015	reported	n/a
E••• P••• E••••••• M•••••• O••••••• F••• I•• L•••	Private Equity Fund	$0	May 23, 2012	12	Feb 7, 2012	dropped	021-164542