DFX Intelligence

Y•••• S••••• 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

Y•••• S••••• P••••••• L•

CRD 304105

NEW YORK, NY

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Data as of Sep 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 1
Observed: Jun 17, 2021 to Sep 26, 2024
8 observations

Across DFX

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

Venture Capitalidentity

Y•••• S••••• P••••••• L•

Venture manager · key_crd, key_sfn_adviser, shared_crd

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: $146M••• Locked
Discretionary RAUM: $146M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Y•••• S••••• M••••• F••• L•	Hedge Fund	$146M	Sep 26, 2024	13	May 23, 2019	reported	021-335799

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• J••••••• M••••••	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	01/2019	Jun 17, 2021	Sep 26, 2024
H•• V•••••• C••• N•••	MEMBER AND MANAGER	E	yes	01/2019	Jun 17, 2021	Sep 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
Y•••• S••••• A••••••• 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
2023	Mar 27, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$146M	$138M	5.6%	n/a	n/a	4	4	0	0

Relationships

Advises (1)

→ Y•••• S••••• M••••• F••• L•Private fundHedge Fund, IA
May 23, 2019 to presentfactForm ADV

Controls (4)

← H••••••• J••••••• M••••••OwnerCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 17, 2021 to presentfactForm ADV
← H•• V•••••• C••• N•••OwnerMEMBER AND MANAGER, ownership code E, individual
Jun 17, 2021 to presentfactForm ADV
← K••• F••••• L••Owner

Dated events

Order

Occurred
23 Nov 2021
Ria registration change
••• Locked
Form ADV
Occurred
17 Jun 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 17, 2021
Last observed: Sep 26, 2024 24 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.