DFX Intelligence

L••• P••• C••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

L••• P••• C••••••• L•

CRD 161168

NEW YORK, NY

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Search this name across graphsid dfx:ria:99288a0e-232d-f1df-cafa-3706f9c2835e

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 2
On other graphs: 0
Observed: Feb 14, 2012 to Mar 26, 2026
23 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $2.0B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••• P••• U••• M•••••• L•	Hedge Fund	$1.3B	Mar 26, 2026	106	Feb 14, 2012	reported	021-150996
L••• P••• O•••••••• L•••	Hedge Fund	$590M	Mar 18, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••••• A••••••• R••••	CHIEF FINANCIAL OFFICER	Na	yes	08/2010	Feb 14, 2012	Feb 1, 2024
K•••• D•••••• E•••	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	02/2018	Feb 16, 2018	Feb 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••• P••• G•• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
EAST HAMPTON	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.0B	$2.3B	-14.4%	$2.9B	-12.0%	18	20	1	1

Relationships

Advises (12)

→ L••• P••• O••••••••• I•• L•Private fundHedge Fund, IA
Mar 29, 2022 to presentfactForm ADV
→ L••• P••• O••••••• M•••••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ L••• P••• O••••••••• I••• L•Private fundHedge Fund, IA
Feb 1, 2024 to presentfactForm ADV
→ L••• P••• U••• M•••••• L•Private fund

Dated events

Occurred
Mar 26, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-763M
Occurred
Mar 30, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$1.0B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99288a0e-232d-f1df-cafa-3706f9c2835e
First observed: Feb 14, 2012
Last observed: Mar 26, 2026 6 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.