DFX Intelligence

S•• F••••••• M••••••••• 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•• F••••••• M••••••••• L•

CRD 156763

ARLINGTON, VA

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Search this name across graphsid dfx:ria:b3b84090-92f2-431e-43af-86256418be9f

Data as of May 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2012 to May 12, 2020
11 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: $617M••• Locked
Discretionary RAUM: $617M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• F••••••• M••••• E••• M••••• F•••• L•••	Hedge Fund	$4.0M	Jan 12, 2022	13	Feb 14, 2012	reported	021-152281
S•• F••••••• A••••• M••••• F•••• L•••	Hedge Fund	$2.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• S•••••• M••••••	PARTNER & PORTFOLIO MANAGER	C	yes	04/2010	Feb 14, 2012	May 12, 2020
N••••••• J•••• R•••••	Member	E	yes	03/2010	Feb 14, 2012	May 12, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• F••••••• 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
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$617M	$634M	-2.8%	$690M	-3.7%	8	7	0	0

Relationships

Advises (2)

→ S•• F••••••• M••••• E••• M••••• F•••• L•••Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ S•• F••••••• A••••• M••••• F•••• L•••Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV

Controls (6)

← W•••••• B••••• E•••••OwnerCHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER, ownership code NA, individual
Nov 5, 2018 to presentfactForm ADV
← N••••••• J•••• R•••••

Dated events

Occurred
Mar 18, 2019
Control person joined
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3b84090-92f2-431e-43af-86256418be9f
First observed: Feb 14, 2012
Last observed: May 12, 2020 77 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.