DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S• S•••••• C•••••• I• M••••••••• L••

CRD 133711

NEW YORK, NY

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Search this name across graphsid dfx:ria:8b3d0eae-62cb-2959-9721-86f1080c39a4

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 31, 2015
6 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: $6.4M••• Locked
Discretionary RAUM: $6.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Y•• P•••••••• L•••	Hedge Fund	$12.4M	Nov 7, 2013	2	Mar 29, 2012	dropped	n/a
C••• T••••••••• F•••• L••	Hedge Fund	$6.4M	Mar 31, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• K••••••• A•	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER (A/O 11/2014)	E	yes	11/2004	Mar 29, 2012	Mar 31, 2015
G••••••••• S••••••• L•••••••	President	Na	yes	11/2004	Mar 29, 2012	Mar 31, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S• S•••••• T••••••••• L••	n/a	Asset manager	$308M	N	yes	n/a
S• S•••••• C•••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
S• S•••••• C••••••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$6.4M	$2.0M	219.8%	$110M	-61.2%	3	7	n/a	n/a

Relationships

Affiliated with (1)

→ S• S•••••• T••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ C••• T••••••••• F•••• L••Private fundHedge Fund, IA
Mar 28, 2013 to presentfactForm ADV
→ Y•• P•••••••• L•••Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Nov 7, 2013factForm ADV

Controls (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b3d0eae-62cb-2959-9721-86f1080c39a4
First observed: Mar 29, 2012
Last observed: Mar 31, 2015 139 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.