DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

T•••• S•••••••• L••

CRD 160690

RADFORD, VA

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Data as of Jun 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 4
On other graphs: 2
Observed: Feb 14, 2012 to Jun 30, 2020
21 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

T•••• S•••••••• L••

Private equity manager · same SEC CIK, same CRD, same SEC file number

Venture Capitalidentity

T•••• S•••••••• L••

Venture manager · same SEC CIK, same CRD, same SEC file number

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: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $551Mderived••• Locked
Private client share: 51%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•• R•••• M••••••••• V• L•	Private Equity Fund	$620M	Mar 31, 2017	63	Feb 14, 2012	dropped	021-107231
K•••••• J••• L••	Hedge Fund	$124M	Jun 30, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• T•••••••• J•••	S••••• MANAGING DIRECTOR	Na	yes	03/2020	Feb 14, 2012	Jun 30, 2020
H••••••• C••••••• R•	MANAGING DIRECTOR & CONTROLLER	Na	yes	08/2007	Feb 14, 2012	Jun 30, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••• S••••••• C•••••• P••••••• V•• L••	n/a	n/a	n/a	Y	yes	n/a
T•••• S••••••• C•••••• P••••••• V••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	2	no
WEST PALM BEACH	FL	United States	1	no

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	$1.1B	$1.1B	-3.6%	$2.4B	-22.8%	21	21	2	2

Relationships

Advises (32)

→ T•••• S••••••• S••••• S•••• 2••• L••Private fundHedge Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ T•••• S••••••• S••••• S•••• 2••• L••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ T•••• S••••••• S••••• S•••• 2••• L••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ T•••• S••••••• S•••• 2••• L••

Dated events

Order

Occurred
30 Jun 2020
Control person joined
••• Locked
Form ADV
Occurred
30 Mar 2020
Control person left
••• Locked
Form ADV
Occurred
28 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
down $491M
Occurred
30 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
down $748M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Jun 30, 2020 75 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.

All 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•••• S••••••• S••••• S•••• 2••• L••	Hedge Fund	$40.5M	Jun 30, 2020	3	Feb 14, 2012	reported	n/a
M•••••• K•••••• L••	Hedge Fund	$30.3M	Jun 30, 2020	13	Apr 1, 2013	reported	n/a
K•••••• A••••••••• L••	Hedge Fund	$28.2M	Mar 31, 2017	3	Feb 14, 2012	dropped	n/a
T•••• S••••••• S••••• S•••• 2••• L••	Hedge Fund	$26.1M	Jun 30, 2020	6	Feb 14, 2012	reported	n/a
T•••• S••••••• S•••• 2••• L••	Hedge Fund	$24.0M	Jun 30, 2020	12	Feb 14, 2012	reported	n/a
T•••• S••••••• S•••• 2••• L••	Hedge Fund	$23.4M	Jun 30, 2020	10	Feb 14, 2012	reported	n/a
T•••• S••••••• S•••• 2••• L••	Hedge Fund	$22.3M	Jun 30, 2020	12	Feb 14, 2012	reported	n/a
T•••• S••••••• S•••• 2••• L••	Hedge Fund	$21.4M	Jun 30, 2020	10	Feb 14, 2012	reported	n/a
T• A••••••••• L••	Hedge Fund	$17.9M	Jun 30, 2020	12	Mar 30, 2020	reported	n/a
T•••• S••••••• I•••••••• 2••• L••	Hedge Fund	$14.5M	Jun 30, 2020	42	Feb 14, 2012	reported	n/a
T•••• S••••••• S•••• 2••• L••	Hedge Fund	$11.7M	Jun 30, 2020	10	Feb 14, 2012	reported	n/a
T•••• S••••••• I•••••••• 2••• L••	Hedge Fund	$11.4M	Jun 30, 2020	39	Feb 14, 2012	reported	n/a
T•••• S••••••• I•••••••• 2••• L••	Hedge Fund	$11.0M	Jun 30, 2020	36	Feb 14, 2012	reported	n/a
T•••• S••••••• I•••••••• 2••• L••	Hedge Fund	$7.9M	Jun 30, 2020	25	Feb 14, 2012	reported	n/a
T•••• S••••••• S••••• S•••• 2••• L••	Hedge Fund	$6.3M	Jun 30, 2020	3	Mar 30, 2016	reported	n/a