DFX Intelligence

P••••••• G•••• A•••• M••••••••• 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

P••••••• G•••• A•••• M••••••••• L•••

CRD 137454

PURCHASE, NY

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Search this name across graphsid dfx:ria:a99e53ad-2915-76f3-93d9-f5730e7030c3

Data as of Jan 17, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Jan 17, 2014
6 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: $1.6B••• Locked
Discretionary RAUM: $1.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••• G•••• C••••••••• C•••••• M••••• F••• L•••	Hedge Fund	$1.6B	Jan 17, 2014	30	Mar 27, 2012	reported	n/a
P••••••• G•••• C••••••••• C•••••• U••• T••••	Hedge Fund	$1.4B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••• M••••••••	MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER	Na	yes	01/2010	Mar 27, 2012	Jan 17, 2014
N•••• M••••••••	MANAGING MEMBER	F	yes	01/2010	Mar 27, 2012	Jan 17, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• G•••• A•••• M••••••••• J•••• L•••	n/a	n/a	n/a	N	yes	n/a
P••••••• G•••• G•• 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
2012	Mar 25, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$1.6B	$982M	58.7%	n/a	n/a	18	n/a	n/a	n/a

Relationships

Advises (4)

→ P••••••• G•••• C••••••••• C•••••• O••••••• F••• L•••Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ P••••••• G•••• C••••••••• C•••••• M••••• F••• L•••Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ P••••••• G•••• C••••••••• C•••••• U••• T••••Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ P••••••• G•••• C••••••••• C•••••• P•••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a99e53ad-2915-76f3-93d9-f5730e7030c3
First observed: Mar 27, 2012
Last observed: Jan 17, 2014 154 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.