DFX Intelligence

S••••••• P••••••• Q••••••••• I••••••••• 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

S••••••• P••••••• Q••••••••• I••••••••• L••

CRD 299372

CHICAGO, IL

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Search this name across graphsid dfx:ria:98c01740-7e27-9437-f05a-90dddc0b6ad4

Data as of Dec 2, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 2
On other graphs: 0
Observed: Oct 26, 2018 to Dec 2, 2019
4 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: $70.6M••• Locked
Discretionary RAUM: $70.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• E••••• M••••• N•••••• M••••• F••• L•••	Hedge Fund	$70.6M	Dec 2, 2019	18	Jan 28, 2019	reported	021-330597

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• D••••••• L••	LLC MANAGER	F	yes	07/2019	Oct 26, 2018	Dec 2, 2019
B•••••• D••••••• L••	LLC MANAGER	F	yes	10/2019	Oct 26, 2018	Dec 2, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• F••• M••••••••• L••	n/a	Asset manager	$462M	N	yes	n/a
S••••••• P••••••• E••••• A••••••• L••	n/a	Former SEC adviser	$88.9M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Baltimore	Md	United States	0	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 31, 2019	$70.6M	$70.6M	7	6	1	1	$70.6M

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	$70.6M	n/a	n/a	n/a	n/a	7	n/a	1	n/a

Relationships

Affiliated with (4)

← S••••••• F••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← S••••••• P••••••• E••••• A••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ S••••••• F••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ S••••••• P••••••• E••••• A••••••• L••

Dated events

Occurred
Dec 2, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 26, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98c01740-7e27-9437-f05a-90dddc0b6ad4
First observed: Oct 26, 2018
Last observed: Dec 2, 2019 82 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.