DFX Intelligence

C•••••••• G••••• 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 under $100M

C•••••••• G••••• A•••• M••••••••• L••

CRD 135248

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Data as of Mar 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Mar 13, 2012
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: $15.5M••• Locked
Discretionary RAUM: $7.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $15.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••• W•••• ••••	n/a	SANTA CLARITA, CA	1	31	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• G••••• F•••• L•	Hedge Fund	$350,000	Mar 13, 2012	6	Dec 19, 2011	reported	021-173803

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•••• ••••• M•••	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	E	yes	10/2004	Dec 19, 2011	Mar 13, 2012

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Relationships

Registered with (1)

← M••• W•••• ••••Advisorregistration: current employment
Jul 9, 2025 to presentfactForm ADV

Advises (1)

→ C•••••••• G••••• F•••• L•Private fundHedge Fund, IA
Dec 19, 2011 to presentfactForm ADV

Controls (1)

← W•••• ••••• M•••OwnerCHIEF COMPLIANCE OFFICER, MANAGING MEMBER, ownership code E, individual
Dec 19, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 19, 2011
Last observed: Mar 13, 2012 176 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.