DFX Intelligence

H••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

H••••••••• I•••

CRD 150300

NEW YORK, NY

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Data as of Sep 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Mar 20, 2012 to Sep 12, 2018
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

H••••••••• I•••

Venture manager · key_crd, key_sfn_adviser, shared_crd

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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H•••••••• V•••••• F••• I• L•••	Venture Capital Fund	$364,343	Dec 18, 2017	45	May 5, 2017	reported	021-259716

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••• M••••••• R•••••	CCO, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, SHAREHOLDER	C	yes	04/2009	Mar 20, 2012	Sep 12, 2018
K•••• M••••••• R•••	PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR, SHAREHOLDER	C	yes	04/2009	Mar 20, 2012	Sep 12, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$0	$62.9M	-100.0%	$19.1M	n/a	2	12	0	n/a

Relationships

Controls (1)

← K•••• M••••••• R•••••OwnerCCO, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, SHAREHOLDER, ownership code C, individual
Mar 20, 2012 to presentfactForm ADV

Owns (2)

← D••••••••• D•••••• A••••••OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← 2••• R•••• 6• P• H•••••••• L••OwnerSHAREHOLDER, ownership code B, domestic entity
Mar 30, 2017 to presentfactForm ADV

Advises (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 20, 2012
Last observed: Sep 12, 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.