DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

I•• A•••••••••

CRD 113537

BOCA RATON, FL

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Search this name across graphsid dfx:ria:cf719241-d6b3-3dc5-1f57-0c6b39757093

Data as of Oct 3, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 0
On other graphs: 1
Observed: Mar 2, 2012 to Oct 3, 2014
9 observations

Across DFX

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

Private Creditidentity

I•• A•••••••••

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: $3.3B••• Locked
Discretionary RAUM: $3.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•• F••• L•••	Hedge Fund	$125M	Oct 3, 2014	28	Mar 2, 2012	reported	n/a
I•• S••••• C••••• F••• L•••	Hedge Fund	$50.3M	Oct 3, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• L••	GENERAL PARTNER	B	yes	12/2003	Mar 2, 2012	Oct 3, 2014
A••••• Y•••••	CHIEF FINANCIAL OFFICER	Na	yes	07/2014	Jul 2, 2014	Oct 3, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•• O••••••• A•••••••	n/a	Asset manager	$88B	Y	yes	n/a
A••• L•••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BOCA RATON	FL	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Apr 1, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$3.3B	$2.7B	19.8%	n/a	n/a	11	10	n/a	n/a

Relationships

Affiliated with (1)

→ III CAPITAL MANAGEMENTRegistered adviserother investment adviser, bank, control, common control
factForm ADV

Advises (6)

→ I•• F••• L•••Private fundHedge Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ I•• R••••••• V•••• C••••• S••••••••• F••• L•••Private fundHedge Fund, IA
Mar 2, 2012 to presentfactForm ADV
→

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cf719241-d6b3-3dc5-1f57-0c6b39757093
First observed: Mar 2, 2012
Last observed: Oct 3, 2014 145 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.

Controls (23)

← R••••• M••••••• L••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← F•••••• F••••••• D••••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← P•••••• R•••••• A•••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← F••••••• G••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← W••••• S••••• L•••••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← O•••••••• T•••••• R•••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Jan 14, 2013 to presentfactForm ADV
← K••••• D•••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Jan 31, 2014 to presentfactForm ADV
← C••••• L•••••• N•••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← A••••• Y•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jul 2, 2014 to presentfactForm ADV
← V••••• C•••••••• G•••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← M•••••••• W••••••• P••••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← M•••••• W•••••• B••••OwnerSHAREHOLDER/OWNER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← A•••• L••OwnerGENERAL PARTNER, ownership code B, domestic entity
Mar 2, 2012 to presentfactForm ADV
← B•••••••• L••OwnerGENERAL PARTNER, ownership code A, domestic entity
Mar 2, 2012 to presentfactForm ADV
← H••••• L••OwnerGENERAL PARTNER, ownership code A, domestic entity
Mar 2, 2012 to presentfactForm ADV
← M••••••• F•••••••• I•••OwnerGENERAL PARTNER, ownership code A, domestic entity
Mar 2, 2012 to presentfactForm ADV
← M••••••• I•••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Jan 14, 2013 to presentfactForm ADV
← S•••••••• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Jan 31, 2014 to presentfactForm ADV
← T••••• P•••••• L••OwnerGENERAL PARTNER, ownership code B, domestic entity
Mar 2, 2012 to presentfactForm ADV
← V•••••• C••• I•••OwnerGENERAL PARTNER, ownership code B, domestic entity
Mar 2, 2012 to presentfactForm ADV
← V•••••••• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Jan 14, 2013 to presentfactForm ADV
← W•••••• C••• I•••OwnerGENERAL PARTNER, ownership code B, domestic entity
Mar 2, 2012 to presentfactForm ADV
← W•••••••• L••OwnerGENERAL PARTNER, ownership code B, domestic entity
Mar 2, 2012 to presentfactForm ADV