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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

D• I••••••••• M•••••••• I••

CRD 108204

NEW YORK, NY

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Search this name across graphsid dfx:ria:e53a9277-d74e-5085-3460-494726c64d15

Data as of Nov 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 91
Dated events: 0
On other graphs: 1
Observed: Nov 21, 2011 to Nov 15, 2018
44 observations

Across DFX

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

Private Creditidentity

D• I••••••••• M•••••••• I••

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: $5.2MItem 5.F on the latest filing (2018-11-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.2M
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; showing 25 of 79

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D••••••••• L••• S•••• E••••• 6• F•••	Hedge Fund	$1.3B	Mar 31, 2014	23	Mar 30, 2012	dropped	021-159637
D•••••• 5• F•••	Hedge Fund	$283M

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
B•••••••• P•••• D••••	CHIEF OPERATING OFFICER AND DIRECTOR	Na	yes	09/2012	Mar 28, 2013	Nov 15, 2018
D• U•• C•••••••••	Shareholder	E	yes	06/1999	Sep 2, 2014

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
D•• I••••••••• M••••••••• A•••••••• I•••	n/a	Other adviser	$200B	N	yes	n/a
D••••••• A•••• M••••••••• ••• L••••••	n/a	Former SEC adviser	$17B	N	yes

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
2017	$5.2M	$15.9M	-67.4%	$172M	-68.9%	3	5	0	n/a

Relationships

showing 80 of 91

Affiliated with (4)

→ D•• I••••••••• M••••••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ DWS INVESTMENTS H••• K••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ D••••••• A•••• M••••••••• ••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ D••••••• B••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e53a9277-d74e-5085-3460-494726c64d15
First observed: Nov 21, 2011
Last observed: Nov 15, 2018 95 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.