DFX Intelligence

G••••••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G••••••••• A•••• M••••••••• L••

CRD 287660

NEW YORK, NY

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Search this name across graphsid dfx:ria:93635ebd-c2dc-5596-9d86-c38ec989f274

Data as of Mar 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Dec 18, 2017 to Mar 28, 2019
5 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $0••• Locked

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G••••••••• Q•••• S••••••• M••••• F••• L•••	Hedge Fund	$0	Mar 28, 2019	1	Aug 4, 2017	reported	021-287773

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•• H••••••• I•••	Shareholder	E	yes	12/2001	Dec 18, 2017	Mar 28, 2019
D••••••• J•••••• A•	Director	Na	yes	01/2017	Dec 18, 2017	Mar 28, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• G••••• I••	n/a	Former SEC adviser	n/a	N	yes	n/a
G••••••••• Q•••• S••••••• G•• 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
2018	Mar 28, 2019	n/a	n/a	2	2	0	1	$0
2017	Mar 29, 2018

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	n/a	$36.0M	n/a	n/a	n/a	2	7	0	0

Relationships

Affiliated with (1)

→ C•••••• G••••• I••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (1)

→ G••••••••• Q•••• S••••••• M••••• F••• L•••Private fundHedge Fund, IA
Aug 4, 2017 to presentfactForm ADV

Controls (7)

← H•••• G•••••• E••••OwnerPRESIDENT, ownership code E, individual
Dec 18, 2017 to presentfactForm ADV

Dated events

Occurred
Mar 28, 2019
Control person left
Harding Donald Putnam (Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2018-05-04, absent 2019-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2019
Control person left
Alexander Spiro (Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2018-05-04, absent 2019-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2019
Control person left
Harlan Simon (Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2018-05-04, absent 2019-03-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93635ebd-c2dc-5596-9d86-c38ec989f274
First observed: Dec 18, 2017
Last observed: Mar 28, 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.