DFX Intelligence

P••••••••• 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

P••••••••• L•

CRD 160153

NEW YORK, NY

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Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 6
On other graphs: 0
Observed: Mar 15, 2012 to Mar 29, 2019
13 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: $163M••• Locked
Discretionary RAUM: $163M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••••• D•••••• G••••• M•••• M••••• F••• L•	Hedge Fund	$65.4M	Mar 29, 2018	9	Aug 1, 2014	reported	021-174930
P•••• I• F••• L•	Hedge Fund	$28.3M	Sep 5, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••• Z••	CHIEF INVESTMENT OFFICER	Na	yes	11/2016	Mar 31, 2017	Mar 29, 2019
P•••••••• J••••	OWNER MANAGER	E	yes	03/2011	Mar 14, 2014	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••• C•••••• M••••••••• L•	n/a	Asset manager	$5.3B	N	yes	n/a
R••••• C•••••• M••••••••• L•	n/a	Former SEC adviser	$127M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 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
2018	$163M	$91.9M	77.2%	$224M	-10.1%	14	13	1	1

Relationships

Affiliated with (2)

→ D••••• C•••••• M••••••••• L•Registered adviserother investment adviser, bank, common control
factForm ADV
→ R••••• C•••••• M••••••••• L•Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (9)

← P•••••• S•••••• D•••••OwnerOWNER MANAGER, ownership code E, individual
Mar 15, 2012 to presentfactForm ADV
← P•••••••• J••••Owner

Dated events

Order

Occurred
29 Mar 2019
Control person left3 events
P••••••••• L•: control person left, 3 events, on 29 Mar 2019
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
14 Mar 2014
First Form ADV filing
••• Locked
Form ADV
Occurred
14 Mar 2014
Ria registration change
••• Locked
Form ADV
Occurred
2 Aug 2012
Ria registration change
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 15, 2012
Last observed: Mar 29, 2019 91 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 15 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• S••••• V•••••••• I•••	LIMITED PARTNER	Na	no	03/2015	Mar 30, 2016	Mar 29, 2019
P••••• L••	LIMITED PARTNER	A	no	08/2018	Mar 29, 2019	Mar 29, 2019
S•• C•• S•• I•••	LIMITED PARTNER	B	no	08/2018	Mar 29, 2019	Mar 29, 2019
S•• H••••••• I•••	Owner	E	no	08/2018	Mar 29, 2019	Mar 29, 2019
T•••••• F••••• L•	LIMITED PARTNER	Na	no	12/2014	Mar 15, 2012	Mar 29, 2019