DFX Intelligence

E••••••••• C•••••• 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

E••••••••• C•••••• L••

CRD 127679

FISHKILL, NY

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Search this name across graphsid dfx:ria:98665643-8ce7-064d-9c85-67095b4ae23c

Data as of Oct 18, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Oct 18, 2021
12 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: $22.0M••• Locked
Discretionary RAUM: $22.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••••••• C•••••• M•••••• L••	Hedge Fund	$19.4M	Jun 29, 2020	15	Mar 30, 2012	dropped	n/a
E••••••••• C•••••• S•• I• L••	Other Private Fund	$15.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• C••••••• I•••	MANAGING MEMBER	E	yes	07/2003	Mar 30, 2012	Oct 18, 2021
W••••••• C••••••••• M••••••	MEMBER, CHIEF COMPLIANCE OFFICER	C	no	10/2014	Mar 30, 2012	Oct 18, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• N• A•••••••• L••	n/a	Independent wealth	$94.2M	N	yes	n/a
E••••••••• M••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YRK	NY	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$22.0M	$25.9M	-15.0%	$28.4M	-8.2%	2	2	1	0

Relationships

Affiliated with (1)

→ C••••• N• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (6)

→ E••••••••• C•••••• S•• I•• L••Private fundOther Private Fund, IA
Mar 29, 2017 to presentfactForm ADV
→ E••••••••• C••••••• L•Private fundHedge Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ E••••••••• C•••••• M•••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98665643-8ce7-064d-9c85-67095b4ae23c
First observed: Mar 30, 2012
Last observed: Oct 18, 2021 60 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.