DFX Intelligence

C•••••• C•••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C•••••• C•••••• P•••••••• L••

CRD 307048

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ec186826-8206-492a-d21d-d3a635c3f671

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Apr 3, 2020 to Mar 31, 2026
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: asset managerderivedprivate_client_share=0.0 fund_share=0.67 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $123M••• Locked
Discretionary RAUM: $82.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
1••• P•••••••• I••••••••• I• L••	Hedge Fund	$76.8M	Mar 29, 2024	14	Jul 30, 2020	reported	021-371598
1••• P•••••••• I••••••••• I•• L•••	Hedge Fund	$69.5M	Mar 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• C•••••• H••••••• L••	Owner	D	yes	02/2019	Apr 3, 2020	Mar 29, 2024
P••••••• L••	Member	D	yes	05/2019	Apr 3, 2020	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• C•••••• M••••••••• L••	n/a	Institutional manager	$8.3B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$123M	$214M	-42.5%	$304M	-26.0%	5	6	4	3

Relationships

Affiliated with (1)

→ A•••••••• C•••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ 1••• P•••••••• I••••••••• I•• L•••Private fundHedge Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ 1••• P•••••••• I••••••••• I• L••Private fundHedge Fund, IA
Jul 30, 2020 to presentfactForm ADV

Owns (1)

Dated events

Occurred
Mar 31, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-116M
Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$139M
Occurred
Apr 3, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ec186826-8206-492a-d21d-d3a635c3f671
First observed: Apr 3, 2020
Last observed: Mar 31, 2026 5 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.