DFX Intelligence

G•••• 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

G•••• C•••••• P•••••••• L••

CRD 153513

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Search this name across graphsid dfx:ria:b3fcdd9c-f7b6-5028-c722-5d76cc501e0e

Data as of Apr 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Apr 23, 2012
2 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: $918M••• Locked
Discretionary RAUM: $918M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 6
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••••••• M••••• F•••• L••	Hedge Fund	$545M	Apr 23, 2012	3	Mar 29, 2012	reported	n/a
P••••• G•••• L••	Hedge Fund	$188M	Apr 23, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• S••••••• S••••	Member	B	no	06/2008	Mar 29, 2012	Apr 23, 2012
G••••••• T••••• G••••	Active	E	no	06/2008	Mar 29, 2012	Apr 23, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$918M	$918M	n/a	n/a	n/a	2	$733M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$918M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (2)

→ P••••• G•••• L••Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ L••••••••• M••••• F•••• L••Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV

Owns (10)

← P•••••• P••••• E•••••OwnerMEMBER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← D••••••• S••••••• S••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3fcdd9c-f7b6-5028-c722-5d76cc501e0e
First observed: Mar 29, 2012
Last observed: Apr 23, 2012 175 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.