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F• I••••••••• 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

F• I••••••••• A•••• M••••••••• L••

CRD 137755

HARRISON, NY

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Search this name across graphsid dfx:ria:e6b76430-929d-b61b-3673-d050708f31a9

Data as of Jun 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Jun 19, 2012
2 observations

Across DFX

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

Private Creditidentity

F• I••••••••• A•••• M••••••••• L••

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: $97.9MItem 5.F on the latest filing (2012-06-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $97.9M
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
Accounts

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F• E••••••• M•••••• D••• F•••• L•	Hedge Fund	$34.2M	Mar 14, 2017	27	Mar 30, 2012	reported	021-67173
F• E••••••• M•••••• S•••• T••• D••• M••••• F•••• L•	Hedge Fund	$10.5M

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
F• I••••••••• F•••••••• S•••••••• I•••	MANAGING MEMBER	E	yes	02/2005	Mar 30, 2012	Jun 19, 2012
H••••••• E•••• R•••••	SOLE SHAREHOLER/SOLE DIRECTOR	E	yes	08/1989	Mar 30, 2012

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
F• I••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
M••••••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a

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
2011	Mar 30, 2012	$97.9M	$97.9M	n/a	n/a	n/a	2	$46.4M

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
2011	$97.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (2)

→ F• E••••••• M•••••• D••• F•••• L•Private fundHedge Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ F• E••••••• M•••••• S•••• T••• D••• M••••• F•••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (5)

← H••••••• E•••• R•••••OwnerSOLE SHAREHOLER/SOLE DIRECTOR, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← S••••••••• L•••••• M•

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6b76430-929d-b61b-3673-d050708f31a9
First observed: Mar 30, 2012
Last observed: Jun 19, 2012 173 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.