DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

A•••• C•••••• A••••••• I•••

CRD 284149

NEW YORK, NY

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Search this name across graphsid dfx:ria:9f8922b5-1f71-707c-794a-fbb0b173614c

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 3
On other graphs: 0
Observed: Jul 22, 2016 to Mar 29, 2022
11 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: $66.5M••• Locked
Discretionary RAUM: $66.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••• C•• F••• L•••	Hedge Fund	$66.5M	Mar 29, 2022	1	Jul 22, 2016	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• I• I••••••••• H•••••••• L•••	SOLE M••••••• MEMBER	F	yes	02/2019	Mar 16, 2019	Mar 29, 2022
A• H•••••••• C••••••••• L•••	OWNER, SHAREHOLDER	C	yes	02/2019	Mar 16, 2019	Mar 29, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• A••••••• I•••••••• C••••••	n/a	n/a	n/a	N	yes	n/a
A•••• B•••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A•••• C•••••• M••••••••• L••	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

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	$66.5M	$85.6M	-22.3%	$89.2M	-9.3%	5	3	0	0

Relationships

Advises (1)

→ A•••• C•• F••• L•••Private fundHedge Fund, IA
Jul 22, 2016 to presentfactForm ADV

Owns (1)

← S••••••• J•••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2017 to presentfactForm ADV

Controls (14)

← T•••••• B••••• F••••••OwnerCHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Jul 22, 2016 to presentfactForm ADV
←

Dated events

Occurred
Sep 6, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 6, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 22, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f8922b5-1f71-707c-794a-fbb0b173614c
First observed: Jul 22, 2016
Last observed: Mar 29, 2022 54 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.