DFX Intelligence

C•••• G••• C••••••• 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

C•••• G••• C••••••• L••

CRD 165787

CHICAGO, IL

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Search this name across graphsid dfx:ria:a36919b5-87ca-e905-350c-920d8cfb888d

Data as of Jul 15, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 1
On other graphs: 0
Observed: Sep 3, 2014 to Jul 15, 2015
3 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: $248M••• Locked
Discretionary RAUM: $248M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••• G••• C•••••• M••••• F••• L•	Hedge Fund	$65.7M	Jul 15, 2015	25	Nov 28, 2012	reported	021-185895

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• W•••• M•••••••• A••	Trustee	F	yes	11/1996	Sep 3, 2014	Jul 15, 2015
B••••• A•••••• G•••••	Trustee	F	yes	02/1997	Sep 3, 2014	Jul 15, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• G••• C•••••• G• L•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 27, 2015	$248M	$248M	7	4	n/a	1	$65.7M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$248M	n/a	n/a	n/a	n/a	7	n/a	n/a	n/a

Relationships

Advises (1)

→ C•••• G••• C•••••• M••••• F••• L•Private fundHedge Fund, IA
Nov 28, 2012 to presentfactForm ADV

Controls (15)

← H•••••• D••••• L•OwnerMEMBER, ownership code D, individual
Sep 3, 2014 to presentfactForm ADV
← K••••• J••••••• F••••••••OwnerTRUSTEE, ownership code E, individual
Sep 3, 2014 to presentfactForm ADV
← N•••••• B••••OwnerMANAGING MEMBER, ownership code D, individual

Dated events

Occurred
Sep 3, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a36919b5-87ca-e905-350c-920d8cfb888d
First observed: Sep 3, 2014
Last observed: Jul 15, 2015 136 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.