DFX Intelligence

S•••••• 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 under $100M

S•••••• A•••• M••••••••• L••

CRD 170575

NEW YORK, NY

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Search this name across graphsid dfx:ria:b11c26c4-cdeb-a92d-172d-f518e506c83f

Data as of Jan 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 14
On other graphs: 0
Observed: Feb 14, 2014 to Jan 29, 2024
35 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: $19.0M••• Locked
Discretionary RAUM: $19.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••••••••• F••• L•	Hedge Fund	$0	Aug 25, 2017	0	Mar 29, 2017	dropped	021-1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• J••••• J•••	CHIEF FINANCIAL OFFICER	Na	yes	01/2023	Feb 23, 2023	Jan 29, 2024
S••••• A•••••• A•••••••	ELECTED MANAGER	C	yes	06/2020	Feb 23, 2023	Jan 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• R••• A•••• M••••••••• L••	n/a	Former SEC adviser	$455M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$19.0M	$251M	-92.4%	$134M	-47.8%	5	8	0	0

Relationships

Affiliated with (2)

← S••••••• R••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ S••••••• R••• A•••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (4)

← S••••••• R••• A•••• M••••••••• L••OwnerOWNER, ownership code E, domestic entity
Feb 23, 2023 to presentfactForm ADV
← S••••• A•••••• A•••••••

Dated events

Occurred
Jan 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b11c26c4-cdeb-a92d-172d-f518e506c83f
First observed: Feb 14, 2014
Last observed: Jan 29, 2024 32 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.