DFX Intelligence

U••••• S••••• S•••• A•• C••••••• P•••••• F•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

U••••• S••••• S•••• A•• C••••••• P•••••• F•••

CRD 106864

NEW YORK, NY

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Search this name across graphsid dfx:ria:e240999a-5384-687f-211f-90de056390a5

Data as of Jun 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2011 to Jun 27, 2017
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $9.0B••• Locked
Discretionary RAUM: $9.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 72
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U•• E••••• F••• L•	Other Private Fund	$3.4B	Jun 27, 2017	7	Mar 29, 2016	reported	n/a
U•• F•••• I••••• F••• L•	Other Private Fund	$1.6B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• C••••••• M••••	MEMBER/DIRECTOR/CHAIRMAN OF BOARD/CHAIRMAN OF INVESTMENT COMMITTEE	Na	yes	03/2016	Mar 28, 2013	Jun 27, 2017
D••••••• W••••••• N••••	President	Na	yes	08/2011	Nov 9, 2011	Jun 27, 2017

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Pittsburgh	Pa	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2016	$9.0B	$9.0B	0.1%	$9.9B	-3.1%	72	82	n/a	n/a

Relationships

Advises (2)

→ U•• F•••• I••••• F••• L•Private fundOther Private Fund, IA
Mar 29, 2016 to presentfactForm ADV
→ U•• E••••• F••• L•Private fundOther Private Fund, IA
Mar 29, 2016 to presentfactForm ADV

Controls (10)

← H•••••••• W••••••• P•••••OwnerMEMBER/DIRECTOR, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← D••••••• W••••••• N••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e240999a-5384-687f-211f-90de056390a5
First observed: Nov 9, 2011
Last observed: Jun 27, 2017 112 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.