DFX Intelligence

C•• 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 none

C•• A•••• M••••••••• L••

CRD 160370

NEW YORK, NY

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Search this name across graphsid dfx:ria:b12a3021-a6d7-54ef-22ba-d10a4dd1ee23

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Mar 31, 2015
10 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: 6
Advisory employees: 2
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $404,961••• Locked
SEC number: 801-73650

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
5•• C•• I• L•••	Securitized Asset Fund	$120M	Oct 31, 2013	1	Feb 14, 2012	dropped	n/a
5•• C•• I• L•••	Securitized Asset Fund	$1.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• L•••••• C•••••••••	Shareholder	E	yes	10/2009	Feb 14, 2012	Mar 31, 2015
C••••• C•••••••••	Shareholder	E	yes	04/1993	Feb 14, 2012	Mar 31, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• B•••	n/a	n/a	n/a	N	yes	n/a
C•• C•••••• S••••••••• 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
2014	Mar 31, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	n/a	$409M	n/a	n/a	n/a	6	7	n/a	n/a

Relationships

Advises (6)

→ C•• C•• 2••••• L•••Private fundSecuritized Asset Fund, IA
Apr 2, 2013 to presentfactForm ADV
→ 5•• C•• I• L•••Private fundSecuritized Asset Fund, IA, no longer reported
Feb 14, 2012 to Oct 31, 2013factForm ADV
→ 5•• C•• I• L•••Private fundSecuritized Asset Fund, IA, no longer reported
Feb 14, 2012 to Oct 31, 2013factForm ADV
→ 5•• C•••••• P•••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b12a3021-a6d7-54ef-22ba-d10a4dd1ee23
First observed: Feb 14, 2012
Last observed: Mar 31, 2015 139 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.