DFX Intelligence

N•••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

N•••• A•••• M••••••••• L••

CRD 165608

NEW YORK, NY

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Search this name across graphsid dfx:ria:9e65282d-5adf-f354-d101-035e51a1eeb8

Data as of Jul 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Dec 21, 2012 to Jul 1, 2014
8 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: $955M••• Locked
Discretionary RAUM: $955M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••• E••••• P••••••• F••• I• L•	Hedge Fund	$457M	Jul 1, 2014	5	Mar 28, 2014	reported	021-198951
W•••••• C•••••• S••••• F••• L•• • S••••• L•••	Hedge Fund	$124M	Jul 1, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• D••••• L•••	MANAGING MEMBER AND CO-CIO	C	yes	06/2012	Dec 21, 2012	Jul 1, 2014
L••• J•••• ••••	MANAGING MEMBER, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER	B	yes	06/2012	Dec 21, 2012	Jul 1, 2014

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 28, 2014	$955M	$955M	14	8	n/a	4	$691M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$955M	n/a	n/a	n/a	n/a	14	n/a	n/a	n/a

Relationships

Advises (4)

→ N•••• E••••• P••••••• F••• I• L•Private fundHedge Fund, IA
Mar 28, 2014 to presentfactForm ADV
→ N•••• E••••• P••••••• S•• L•• • U••• E•••••• S••••••••• P••••••••Private fundHedge Fund, IA
Jun 6, 2013 to presentfactForm ADV
→ W•••••• C•••••• S••••• F••• L•• • S••••• L•••Private fundHedge Fund, IA
Jun 6, 2013 to presentfactForm ADV
→ N•••• E••••• P••••••• S•• L•• • U••• U•••••••• S••••••••• P••••••••

Dated events

Occurred
Dec 21, 2012
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e65282d-5adf-f354-d101-035e51a1eeb8
First observed: Dec 21, 2012
Last observed: Jul 1, 2014 148 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.