DFX Intelligence

E•••• H•••••• 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

E•••• H•••••• M••••••••• L•

CRD 171287

NEW YORK, NY

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Search this name across graphsid dfx:ria:c4195e9d-f62e-db16-7c9d-0fdb6cf14844

Data as of Nov 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: May 27, 2015 to Nov 28, 2017
7 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: $158M••• Locked
Discretionary RAUM: $158M
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
E•••• H•••••• M••••• F•••• L•	Hedge Fund	$147M	Nov 28, 2017	13	May 27, 2015	reported	021-247626
A•• E•••• H•••••• F•••• L••	Hedge Fund	$68.4M	Feb 17, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• J••••••• R•••••	MANAGING MEMBER	E	yes	05/2015	May 27, 2015	Nov 28, 2017
C••••••••• J••••••• R•••••	PORTFOLIO MANAGER / LIMITED PARTNER / CHIEF COMPLIANCE OFFICER	E	yes	05/2015	May 27, 2015	Nov 28, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••• H•••••• M••••••••• G•• L••	n/a	n/a	n/a	Y	yes	n/a
E•••• H•••••• P•••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 3, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$158M	$110M	43.0%	n/a	n/a	4	3	0	n/a

Relationships

Advises (4)

→ E•••• H•••••• M••••• F•••• L•Private fundHedge Fund, IA
May 27, 2015 to presentfactForm ADV
→ E•••• H•••••• O••••••• F•••• L•••Private fundHedge Fund, IA, no longer reported
May 27, 2015 to Jun 4, 2015factForm ADV
→ E•••• H•••••• D••••••• F•••• L•Private fundHedge Fund, IA, no longer reported
May 27, 2015 to Jun 4, 2015factForm ADV
→ A•• E•••• H•••••• F•••• L••

Dated events

Occurred
Jun 4, 2015
Ria registration change
••• Locked
Form ADVobserved today
Occurred
May 27, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4195e9d-f62e-db16-7c9d-0fdb6cf14844
First observed: May 27, 2015
Last observed: Nov 28, 2017 107 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.