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S••••••• R••• E••••• S••••••••• 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

S••••••• R••• E••••• S••••••••• L••

CRD 133597

GREENWICH, CT

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Search this name across graphsid dfx:ria:93cf8c52-eded-b631-081b-15d671460928

Data as of Apr 2, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 2, 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: $623MItem 5.F on the latest filing (2015-04-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $623M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D••••• K••••••• M••••• F••• L••	Hedge Fund	$126M	Apr 2, 2015	15	Mar 30, 2012	reported	021-123978
D••••• M••••• F••• L••	Hedge Fund	$108M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• S•••••• N••••	CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	02/2005	Mar 30, 2012	Apr 2, 2015
S••••••••• B••••• S•••••	100% OWNER	E	yes	10/2004	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• S••••••••• C••••• I•••	n/a	n/a	n/a	Y	no	n/a
S••••••• R••• E••••• S••••••••• M••••••••• L•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$623M	$1.2B	-48.3%	$635M	-0.7%	9	10	n/a	n/a

Relationships

Advises (3)

→ D••••• M••••• F••• L••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ D••••• K••••••• M••••• F••• L••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S••••••• R••• E••••• S••••••••• F••• L••Private fundOther Private Fund, IA
Mar 28, 2014 to presentfactForm ADV

Controls (3)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93cf8c52-eded-b631-081b-15d671460928
First observed: Mar 30, 2012
Last observed: Apr 2, 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.