DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C••••• P••• A•••• M••••••••• L•

CRD 169730

COCOA BEACH, FL

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Search this name across graphsid dfx:ria:9fe4a642-8759-33b6-ae69-157ff77423ff

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 17
On other graphs: 0
Observed: Jan 29, 2014 to Mar 31, 2026
24 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=0.93 institutional_share=0.03 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $149M••• Locked
Discretionary RAUM: $149M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• P••• M••••• F••• L•••	Hedge Fund	$131M	Mar 31, 2026	45	Jan 29, 2014	reported	021-213696
C••••• P••• L••••• H••• Y•••• F••• L•	Hedge Fund	$7.1M	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• A•••••• A•••••	CHIEF INVESTMENT OFFICER, PARTNER	E	yes	01/2014	Jan 29, 2014	Mar 30, 2024
B••••••• A•••••• A•••••	Member	E	yes	01/2014	Jan 29, 2014	Mar 30, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• P••• A•••••••• 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

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	$149M	$192M	-22.5%	$186M	-7.2%	4	5	0	0

Relationships

Advises (1)

→ C••••• P••• M••••• F••• L•••Private fundHedge Fund, IA
Jan 29, 2014 to presentfactForm ADV

Controls (5)

← B••••••• A•••••• A•••••OwnerMEMBER, ownership code E, individual
Jan 29, 2014 to Mar 30, 2024factForm ADV
← N•••• B••••• M••••••OwnerTRUSTEE, ownership code F, individual
Jan 29, 2014 to Mar 30, 2024factForm ADV
← W•••••• T•••• K••••••OwnerCHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, ownership code NA, individual

Dated events

Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$7.1M
Occurred
Mar 30, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
May 14, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9fe4a642-8759-33b6-ae69-157ff77423ff
First observed: Jan 29, 2014
Last observed: Mar 31, 2026 5 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.