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F••• R••••••• A•• 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

F••• R••••••• A•• M••••••••• L•

CRD 130263

NEW YORK, NY

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Search this name across graphsid dfx:ria:cc962b70-6ab6-0d33-304f-8aecdd79880a

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 31, 2017
9 observations

Across DFX

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

Private Creditidentity

F••• R••••••• A•• M••••••••• L•

Private credit manager · 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: $567MItem 5.F on the latest filing (2017-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $567M
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
F••• M•••• S••••••• M••••• F•••• L•••	Hedge Fund	$404M	Mar 31, 2017	26	Mar 30, 2012	reported	021-72048
F•••••• F••• L••••••	Hedge Fund	$131M

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•••••• M•••	CHIEF FINANCIAL OFFICER	Na	yes	06/2007	Mar 30, 2012	Mar 31, 2017
B•••••••• A••	CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	04/2008	Mar 30, 2012

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
F••• G• I•• L••	n/a	n/a	n/a	N	yes	n/a
F••• G• I••• 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
2016	$567M	$3.1B	-81.4%	$6.0B	-54.4%	11	26	n/a	n/a

Relationships

Advises (6)

→ F••• J•••• C••••• O••••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ F••• M•••• S••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ F••• C•• L••• 2•••••Private fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ F•••••• F••• L••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc962b70-6ab6-0d33-304f-8aecdd79880a
First observed: Mar 30, 2012
Last observed: Mar 31, 2017 115 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.