DFX Intelligence

R•••••• D•••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

R•••••• D•••••• G••••• L••

CRD 299165

RALEIGH, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:aa11d261-1451-57ea-1990-b13e568cca12

Data as of May 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 28, 2019 to May 28, 2019
1 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 0
Offices: 1Schedule D 1.F, beyond the principal office
High net worth clients: 0
SEC number: 801-116862

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••••• D•••••• F••• I• L•	Hedge Fund	$7.0M	Apr 1, 2024	36	Oct 29, 2020	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Y•••••• J••••• D••••	Ceo	E	yes	04/2017	May 28, 2019	May 28, 2019
S•••• J••••• A••••	CHIEF COMPLIANCE OFFICER	Na	no	02/2018	May 28, 2019	May 28, 2019

Relationships

Advises (1)

→ R•••••• D•••••• F••• I• L•Private fundHedge Fund, ERA
Oct 29, 2020 to presentfactForm ADV

Controls (1)

← Y•••••• J••••• D••••OwnerCEO, ownership code E, individual
May 28, 2019 to presentfactForm ADV

Owns (1)

← S•••• J••••• A••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 28, 2019 to presentfactForm ADV

Dated events

Occurred
May 28, 2019
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa11d261-1451-57ea-1990-b13e568cca12
First observed: May 28, 2019
Last observed: May 28, 2019 89 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.