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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

S••• A••••••• L••••••

CRD 153840

CENTRAL

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Search this name across graphsid dfx:ria:a42490cf-9c68-0edb-f86a-6b8fa3b8fb32

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Dec 8, 2011 to Mar 30, 2017
10 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: $2.0BItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0B
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••• F••••••• F•••	Hedge Fund	$1.0B	Mar 30, 2017	13	Mar 29, 2012	reported	n/a
S••• M••••••••• F••• • T••••	Hedge Fund	$669M

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
L•• Y••••••	CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER	Na	yes	04/2007	Dec 8, 2011	Mar 30, 2017
S••• A••••••• G•••• L••••••	Owner	E	yes	02/2008	Dec 8, 2011

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••• F••••••• M••••••••• L•••••• ••••	n/a	n/a	n/a	N	yes	n/a
S••• I••••••••• M••••••••• L•••••• •••••• I••••••	n/a	n/a	n/a	N	yes	n/a
S••• P•••••• E••••••• M••••••••• L•••••• •••••••

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

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
2016	$2.0B	$2.1B	-4.0%	$2.2B	-2.9%	29	31	n/a	n/a

Relationships

Advises (5)

→ S••• S••••••••• S••••••••• F••• S•• • A••• E••••• A•••• F•••Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ S••• M••••••••• F••• S•• L••• • A••• P•••••• M••••••• F•••Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ S••• M••••••••• F••• S•• L••• • E••••••• M••••••• F•••Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ S••• F••••••• F•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a42490cf-9c68-0edb-f86a-6b8fa3b8fb32
First observed: Dec 8, 2011
Last observed: Mar 30, 2017 115 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.