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B•••••• A•••• M••••••••• C•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

B•••••• A•••• M••••••••• C•••

CRD 104960

NEW YORK, NY

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Search this name across graphsid dfx:ria:c604d511-42c3-7fb7-e63a-caa8a761f29e

Data as of Aug 11, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Aug 11, 2016
17 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: $323MItem 5.F on the latest filing (2016-08-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $320M
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
B•••••• E••••••• M••••••• F••• L•	Hedge Fund	$8.0M	Aug 11, 2016	9	Dec 24, 2014	reported	021-182398

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•••••• D••••• D•••••	Member	C	yes	03/2015	May 27, 2015	Aug 11, 2016
B•• H••••••• L••	HOLDING COMPANY	E	yes	03/2015	May 27, 2015

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
B•••••• A••••••••• G• L••	n/a	n/a	n/a	Y	yes	n/a
R••••••• C•••••• M••••••••• 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
2015	$323M	$650M	-50.3%	$541M	-15.8%	22	21	n/a	n/a

Relationships

Advises (1)

→ B•••••• E••••••• M••••••• F••• L•Private fundHedge Fund, IA
Dec 24, 2014 to presentfactForm ADV

Controls (7)

← D•••••• M•••••••• M••••OwnerCHIEF FINANCIAL OFFICER, SECRETARY, TREASURER AND DIRECTOR, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← Z••••••• S•••••• R•OwnerCEO, DIRECTOR, ownership code NA, individual
Jun 14, 2016 to presentfactForm ADV
← G••••••• A•••••• F•••••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c604d511-42c3-7fb7-e63a-caa8a761f29e
First observed: Mar 30, 2012
Last observed: Aug 11, 2016 123 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.