DFX Intelligence

N••• C••••••• C•••••• 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

N••• C••••••• C•••••• M••••••••• L••

CRD 165807

SHORT HILLS, NJ

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Search this name across graphsid dfx:ria:d81bb773-1226-ab39-d7c4-f5e003bc04a0

Data as of Mar 10, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Oct 22, 2012 to Mar 10, 2016
6 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: $411M••• Locked
Discretionary RAUM: $411M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••• C••••••• S••••••••• M••••• F••• L••	Hedge Fund	$411M	Mar 10, 2016	0	Mar 28, 2013	reported	021-188794

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• K• F••••• T••••	Member	D	yes	03/2012	Oct 22, 2012	Mar 10, 2016
C•••• F••••••••• L••	Owner	D	yes	03/2012	Oct 22, 2012	Mar 10, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••• C••••••• C•••••• G• 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
2015	Mar 10, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$411M	$1.7B	-76.3%	$831M	-20.9%	15	22	n/a	n/a

Relationships

Advises (1)

→ N••• C••••••• S••••••••• M••••• F••• L••Private fundHedge Fund, IA
Mar 28, 2013 to presentfactForm ADV

Controls (7)

← R••• Y•••••• ••••OwnerCHIEF TECHNOLOGY OFFICER, ownership code B, individual
Oct 22, 2012 to presentfactForm ADV
← K•• C•••• ••••OwnerMEMBER, ownership code D, individual
Oct 22, 2012 to presentfactForm ADV
← Y•• Y••• ••••OwnerTRUSTEE, ownership code D, individual

Dated events

Occurred
Oct 22, 2012
First Form ADV filing
N••• C••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d81bb773-1226-ab39-d7c4-f5e003bc04a0
First observed: Oct 22, 2012
Last observed: Mar 10, 2016 128 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.