DFX Intelligence

T••••• I••••••••• A••••••• 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

T••••• I••••••••• A••••••• L•

CRD 120057

DALLAS, TX

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Search this name across graphsid dfx:ria:e688a424-f220-0598-6734-78c53e5be5cb

Data as of Apr 7, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2012 to Apr 7, 2017
11 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: $203M••• Locked
Discretionary RAUM: $173M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••• N•••••••• R••••••• V•••• F••• L•	Hedge Fund	$14.2M	Apr 1, 2013	6	Apr 3, 2012	dropped	n/a
T••••• N•••••••• E••••• L••••••••• F••• L•	Hedge Fund	$10.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D••••••• R•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Apr 7, 2017	Apr 7, 2017
C•••••• B••••• F••••••	CHIEF INVESTMENT OFFICER	Na	yes	02/2006	Apr 3, 2012	Apr 7, 2017

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
OLD GREENWICH	Ct	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	$203M	$194M	4.8%	$215M	-1.8%	7	7	n/a	n/a

Relationships

Advises (5)

→ T••••• I•••••••• S••••• L• • S•••• P•••• F••••••• R••• F•••Private fundHedge Fund, IA
Apr 1, 2013 to presentfactForm ADV
→ T••••• I••••••••• S••••• L••Private fundHedge Fund, IA, no longer reported
Apr 3, 2012 to Apr 14, 2015factForm ADV
→ T••••• N•••••••• R••••••• V•••• F••• L•Private fundHedge Fund, IA, no longer reported
Apr 3, 2012 to Apr 1, 2013factForm ADV
→ T••••• N•••••••• E••••• L••••••••• F••• L•

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e688a424-f220-0598-6734-78c53e5be5cb
First observed: Apr 3, 2012
Last observed: Apr 7, 2017 115 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.