DFX Intelligence

A••••••• 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

A••••••• C••••••• L••

CRD 159883

MARINA DEL REY, CA

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Data as of Mar 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Jan 31, 2012 to Mar 16, 2021
11 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: $419M••• Locked
Discretionary RAUM: $419M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••• O••••••• M••••• F•••• L•	Hedge Fund	$154M	Mar 25, 2020	2	Mar 6, 2013	reported	n/a
S••••••• L•	Hedge Fund	$130M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• C••••••••• L•••••	MANAGING MEMBER	E	yes	01/2009	Jan 31, 2012	Mar 16, 2021
E••••• I•••• ••••	CHIEF COMPLIANCE OFFICER	Na	no	01/2012	Jan 31, 2012	Mar 16, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$419M	$755M	-44.6%	$555M	-9.0%	4	4	0	0

Relationships

Advises (4)

→ S••••••• L•Private fundHedge Fund, IA
Mar 23, 2018 to presentfactForm ADV
→ A••••••• S••••••• L•Private fundHedge Fund, IA
Mar 6, 2013 to presentfactForm ADV
→ A••••••• P•••••••• L•Private fundHedge Fund, IA
Mar 6, 2013 to presentfactForm ADV
→ A••••••• O••••••• M••••• F•••• L•Private fund

Dated events

Order

Occurred
16 Mar 2021
Regulatory AUM changed
••• Locked
Form ADV
down $337M
Occurred
25 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
$163M
Occurred
23 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
$155M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 31, 2012
Last observed: Mar 16, 2021 67 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.