DFX Intelligence

M••••• C••••• S••••••••• 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

M••••• C••••• S••••••••• L••

CRD 157828

NEW YORK, NY

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Search this name across graphsid dfx:ria:a3482f25-60ce-fefc-6d45-7989a9bdaaf0

Data as of Apr 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Apr 2, 2012
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

M••••• C••••• S••••••••• L••

Private credit manager · shared crd

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: $46.4M••• Locked
Discretionary RAUM: $46.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 5
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• C••••• S••••••••• M••••• L•	Hedge Fund	$36.7M	Apr 2, 2012	5	Mar 30, 2012	reported	n/a
M••••• C••••• S••••••••• L•	Hedge Fund	$15.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• R••••••• T•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2011	Mar 30, 2012	Apr 2, 2012
C••••••• R•••••• J•••••	MANAGER/MEMBER	E	yes	03/2011	Mar 30, 2012	Apr 2, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•• A••••••• L••	n/a	Former SEC adviser	$432M	Y	yes	n/a
M••••• C•••••• L••	n/a	n/a	n/a	Y	yes	n/a
M••••• C••••• S••••••••• G•• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$46.4M	$46.4M	n/a	n/a	n/a	3	$60.6M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$46.4M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ M•• A••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Advises (3)

→ M••••• C••••• S••••••••• M••••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ M••••• C••••• S••••••••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ M••••• C••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3482f25-60ce-fefc-6d45-7989a9bdaaf0
First observed: Mar 30, 2012
Last observed: Apr 2, 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.