DFX Intelligence

C•••••••• G••••• 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

C•••••••• G••••• I•••••••• L••

CRD 315724

NEW YORK, NY

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Data as of Oct 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 30, 2021 to Oct 18, 2022
5 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: $28.3M••• Locked
Discretionary RAUM: $28.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• P•••• C•••••• M••••• S•	Hedge Fund	$7.9M	Oct 18, 2022	1	Jul 30, 2021	reported	021-402945

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• N•••• G•••••	Owner	E	yes	04/2015	Jul 30, 2021	Oct 18, 2022
C•••••••• S•	Owner	E	yes	05/2020	Jul 30, 2021	Oct 18, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• S•	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 29, 2022	$28.3M	$28.3M	3	1	0	1	$7.9M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$28.3M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Relationships

Advises (1)

→ C•••••••• P•••• C•••••• M••••• S•Private fundHedge Fund, IA
Jul 30, 2021 to presentfactForm ADV

Controls (7)

← M•••••• T•••••• K••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 30, 2021 to presentfactForm ADV
← H••••••• M•••• ••••OwnerCEO, ownership code NA, individual
Jul 30, 2021 to presentfactForm ADV
← A••••••••• N•••• G•••••OwnerOWNER, ownership code E, individual

Dated events

Order

Occurred
30 Jul 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 30, 2021
Last observed: Oct 18, 2022 47 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.