DFX Intelligence

O••••• 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 1b 10b

O••••• C•••••• M••••••••• L••••••

CRD 156725

LONDON

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Search this name across graphsid dfx:ria:955f67c8-782d-3149-a752-1cff46aa1939

Data as of Aug 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2011 to Aug 2, 2012
3 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: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 6
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P• M•••••• F•••• S••• • S••••••••• P•••••••• 2•	Hedge Fund	$387M	Aug 2, 2012	25	Mar 30, 2012	reported	021-159638
O•••	Hedge Fund	$280M	Aug 2, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• N••••••• R••••••	Shareholder	E	yes	12/2009	Dec 16, 2011	Aug 2, 2012
G•••••••• N••••••• R••••••	PRINCIPAL AND CHIEF EXECUTIVE OFFICER	Na	yes	05/2007	Dec 16, 2011	Aug 2, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Dec 16, 2011	$482M	$482M	n/a	n/a	n/a	3	$336M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$1.5B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (4)

→ O••••• M•••• M••••• F••• L••••••Private fundHedge Fund, ERA
Dec 16, 2011 to presentfactForm ADV
→ O••••• M•••• F••• N• 3• L••••••Private fundHedge Fund, ERA
Dec 16, 2011 to presentfactForm ADV
→ O•••Private fundHedge Fund, IA
Dec 16, 2011 to presentfactForm ADV
→ P• M•••••• F•••• S••• • S••••••••• P•••••••• 2•Private fund

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:955f67c8-782d-3149-a752-1cff46aa1939
First observed: Dec 16, 2011
Last observed: Aug 2, 2012 172 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.