DFX Intelligence

L••••• A••••••••• 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

L••••• A••••••••• L••

CRD 112741

NEW YORK, NY

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Search this name across graphsid dfx:ria:c4001659-ba24-3eb2-6a9d-7c3908713433

Data as of Mar 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to Mar 23, 2016
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: $577M••• Locked
Discretionary RAUM: $577M
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
L••••• D••••••••• S••••••••• F•••• P••	Hedge Fund	$104M	Mar 16, 2012	4	Mar 16, 2012	dropped	021-108472
L••••• D••••••••• S••••••••• F•••• L•••	Hedge Fund	$23.7M	Sep 25, 2013

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• C••••••••• L•••	Director	Na	yes	03/2001	Mar 16, 2012	Mar 23, 2016
F•••• C••••••••	Director	Na	yes	03/2001	Mar 16, 2012	Mar 23, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••• A•••• M••••••••• L••	n/a	Other adviser	$121B	Y	yes	n/a
E•••••••• S•••••••• L••	n/a	Asset manager	$2.8B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$577M	$739M	-22.0%	$658M	-4.3%	8	8	n/a	n/a

Relationships

Affiliated with (4)

→ L••••• A•••• M••••••••• C••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ L••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ E•••••••• S•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← L••••• W••••• M•••••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4001659-ba24-3eb2-6a9d-7c3908713433
First observed: Mar 16, 2012
Last observed: Mar 23, 2016 127 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.