DFX Intelligence

S••••• C•••••• P•••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••••• C•••••• P•••••••• L•

CRD 168423

STAMFORD, CT

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Search this name across graphsid dfx:ria:b29e05da-29d9-9a6c-5f4f-4b6d8d2e5a32

Data as of Feb 22, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jul 23, 2013 to Feb 22, 2017
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
Regulatory AUM: $133M••• Locked
Discretionary RAUM: $133M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• M••••• F••• L••	Hedge Fund	$724M	Jan 15, 2016	83	Dec 9, 2013	dropped	021-205860
S••••• A•••••••• M••••• F••• L••	Hedge Fund	$133M	Feb 22, 2017

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
I••••••• P••••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2013	Dec 9, 2013	Feb 22, 2017
S•••••••• L•••••••• J•••••	SOLE MEMBER	E	yes	06/2013	Jul 23, 2013	Feb 22, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Feb 22, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$133M	$724M	-81.6%	$180M	-9.5%	7	17	n/a	n/a

Relationships

Advises (2)

→ S••••• A•••••••• M••••• F••• L••Private fundHedge Fund, IA
Jun 17, 2016 to presentfactForm ADV
→ S••••• M••••• F••• L••Private fundHedge Fund, IA, no longer reported
Dec 9, 2013 to Jan 15, 2016factForm ADV

Controls (3)

← S•••••••• L•••••••• J•••••OwnerSOLE MEMBER, ownership code E, individual
Jul 23, 2013 to presentfactForm ADV
← I••••••• P••••••• J•••••

Dated events

Occurred
Jul 23, 2013
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b29e05da-29d9-9a6c-5f4f-4b6d8d2e5a32
First observed: Jul 23, 2013
Last observed: Feb 22, 2017 116 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.