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P•••••• 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

P•••••• P•••••••• L••

CRD 137783

NEW YORK, NY

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Search this name across graphsid dfx:ria:c489d904-d8d1-182d-915e-ee326bb30c2f

Data as of Oct 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Oct 2, 2018
26 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: $428MItem 5.F on the latest filing (2018-10-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $428M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••••• A•••••• I••••••••• S•• • R•• S••••••••• P••••••••	Hedge Fund	$54.5M	Mar 29, 2012	2	Mar 29, 2012	dropped	021-128894
P•••••• P•••••••• L•	Hedge Fund	$40.6M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• A•••	PRESIDENT AND CHIEF SCIENCE OFFICER	B	yes	08/2017	Aug 2, 2017	Oct 2, 2018
B••••••• D•••	CHIEF FINANCIAL OFFICER	Na	yes	08/2018	Jul 1, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$428M	$1.3B	-67.3%	$2.1B	-40.9%	9	18	0	n/a

Relationships

Advises (10)

→ P•••••• P••••••• M• F•••• L•••Private fundHedge Fund, ERA
Sep 30, 2015 to presentfactForm ADV
→ P•••••• P••••••• Q• F•••• L•••Private fundHedge Fund, ERA
Mar 29, 2012 to presentfactForm ADV
→ P•••••• P•••••••• L•Private fundHedge Fund, ERA
Mar 29, 2012 to presentfactForm ADV
→ P•••••• M••••• I••••••••• F•••• A• S••••••• O• D•• Q•••• P••••••• I•••

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
P•••••• P•••••••• L•• reported RAUM $428.0M, down 67% from $1.3B (2017-11-17 to 2018-03-29)
Form ADVobserved 6 days ago
$-883M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c489d904-d8d1-182d-915e-ee326bb30c2f
First observed: Mar 29, 2012
Last observed: Oct 2, 2018 97 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.