DFX Intelligence

H•••• C•••••• A••••••• 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

H•••• C•••••• A••••••• L••

CRD 120668

MADISON, WI

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Search this name across graphsid dfx:ria:a7551c05-3d96-55e8-b10f-5412d176b0c9

Data as of Mar 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 1
Observed: Apr 16, 2012 to Mar 28, 2014
4 observations

Across DFX

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

Private Creditidentity

H•••• C•••••• A••••••• 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: $36.4M••• Locked
Discretionary RAUM: $36.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F•••••••• I••••••••• P••••••• M••••• F•••• L•••	Hedge Fund	$126M	Apr 16, 2012	14	Apr 16, 2012	dropped	021-93376
F•••••••• I••••••••• P•••••••• L•••	Hedge Fund	$51.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• E•••• D•••••	PRESIDENT, CEO, MANAGING MEMBER	D	yes	04/2002	Apr 16, 2012	Mar 28, 2014
C••••••• J••••• R•••	CHIEF COMPLIANCE OFFICER	Na	no	08/2013	Aug 15, 2013	Mar 28, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••• P•••••• E••••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 28, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$36.4M	$306M	-88.1%	n/a	n/a	3	5	n/a	n/a

Relationships

Advises (5)

→ F•••••••• I••••••••• P••••••• I••• L•••Private fundHedge Fund, ERA
Apr 16, 2012 to presentfactForm ADV
→ H•••• C••••• O••••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Apr 16, 2012 to presentfactForm ADV
→ F•••••••• I••••••••• P•••••••• L•••Private fundHedge Fund, IA
Apr 1, 2013 to presentfactForm ADV
→ F•••••••• I••••••••• P••••••• M••••• F•••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7551c05-3d96-55e8-b10f-5412d176b0c9
First observed: Apr 16, 2012
Last observed: Mar 28, 2014 152 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.