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S• 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

S• A•••• M••••••••• L••

CRD 155393

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:a06d6a49-90c4-305a-c047-8cc7d37ae6f8

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2015
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: $399MItem 5.F on the latest filing (2015-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $399M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• M••••• F••• L•••	Hedge Fund	$2.0M	Mar 4, 2016	6	Mar 30, 2012	reported	021-1482263

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• G•••••• P••••	Member	C	yes	08/2001	Mar 30, 2012	Mar 31, 2015
H•••••• D••••• C•••••	MANAGING MEMBER	C	yes	01/2010	Mar 30, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$399M	$373M	7.1%	$130M	45.5%	7	9	n/a	n/a

Relationships

Advises (1)

→ S•••• M••••• F••• L•••Private fundHedge Fund, ERA
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← F•••••• M••••••••• L••OwnerMEMBER, ownership code A, domestic entity
Mar 30, 2012 to presentfactForm ADV

Controls (5)

← H•••••• D••••• C•••••OwnerMANAGING MEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a06d6a49-90c4-305a-c047-8cc7d37ae6f8
First observed: Mar 30, 2012
Last observed: Mar 31, 2015 139 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.