DFX Intelligence

S••••• P•••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

S••••• P•••• C•••••• M••••••••• L••

CRD 288248

RIVERHEAD, NY

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Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 6
On other graphs: 0
Observed: Mar 13, 2019 to Mar 19, 2026
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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $262M••• Locked
Discretionary RAUM: $262M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• P•••• R••••••• A••••••• M••••• F••• L•	Hedge Fund	$262M	Mar 19, 2026	72	Apr 28, 2017	reported	021-268151
S••••• P•••• R••••••• A••••••• P••••••• L•	Hedge Fund	$190M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• B•••••••• E•••••	MANAGING MEMBER/CIO	E	yes	05/2009	Mar 13, 2019	Feb 28, 2024
D•••••• O•••••• J•	CCO/COO	Na	yes	02/2020	Mar 13, 2020	Feb 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• P•••• C•••••• P•••••••• 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
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$262M	$315M	-16.7%	$274M	-1.4%	3	3	0	0

Relationships

Advises (3)

→ S••••• P•••• R••••••• A••••••• M••••• F••• L•Private fundHedge Fund, IA
Apr 28, 2017 to presentfactForm ADV
→ S••••• P•••• R••••••• A••••••• P••••••• L•Private fundHedge Fund, IA, no longer reported
Apr 28, 2017 to Mar 13, 2020factForm ADV
→ S••••• P•••• R••••••• A••••••• P••••••• O•••••••• L•••Private fundHedge Fund, IA, no longer reported
Apr 28, 2017 to Mar 13, 2020factForm ADV

Controls (2)

Dated events

Occurred
Mar 26, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-107M
Occurred
Mar 13, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$150M
Occurred
Mar 13, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 13, 2020
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 13, 2019
Last observed: Mar 19, 2026 6 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.