DFX Intelligence

P••••••••• 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 under $100M

P••••••••• A•••• M••••••••• L••

CRD 134668

GREENWICH, CT

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Search this name across graphsid dfx:ria:e6252101-290b-271d-fadb-36446438e95c

Data as of May 7, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2012 to May 7, 2012
2 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: $94.5M••• Locked
Discretionary RAUM: $94.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 5
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••••• D••••• L••	Hedge Fund	$69.5M	Jan 20, 2012	12	Jan 20, 2012	reported	n/a
P••••••••• S•••••• S••••••••• M••••• F••• L••••••	Hedge Fund	$18.4M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• A••••• M•••••••••	MANAGING MEMBER & CHIEF INVESTMENT OFFICER	E	yes	02/2005	Jan 20, 2012	May 7, 2012
L•••••• T••••• J•	CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Jan 20, 2012	May 7, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	May 7, 2012	$94.5M	$94.5M	n/a	n/a	n/a	5	$189M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$94.5M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (14)

→ P••••••••• 2••• L••••••••• L••••••Private fundHedge Fund, ERA
Jan 20, 2012 to presentfactForm ADV
→ P••••••••• 2••• L••••••••• L••••••Private fundHedge Fund, ERA
Jan 20, 2012 to presentfactForm ADV
→ P••••••••• 2••• L••••••••• L••Private fundHedge Fund, ERA
Jan 20, 2012 to presentfactForm ADV
→ P••••••••• S•••••• S••••••••• M••••• F••• L••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6252101-290b-271d-fadb-36446438e95c
First observed: Jan 20, 2012
Last observed: May 7, 2012 175 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.