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S•••• R••• M••••••••• 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

S•••• R••• M••••••••• L••••••

CRD 138772

ROAD TOWN, TORTOLA

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Search this name across graphsid dfx:ria:ed9323ce-c3b8-29a0-726a-5e400437853b

Data as of May 18, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to May 18, 2012
3 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: $143MItem 5.F on the latest filing (2012-05-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $143M
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

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
E••• R••• C•••••• M••••••••• L••	Shareholder	E	yes	12/2005	Mar 30, 2012	May 18, 2012
H•••••• E•••••• M•••••	Partner	F	yes	11/2004	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
E••• R••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$280M	Y	no	n/a
E••• R••••••• S••••••••• L••	n/a	Former SEC adviser	$16.9M	N	no

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	$143M	$143M	n/a	n/a	n/a	5	$143M

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	$143M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

← E••• R••• C•••••• M•••••••••Registered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV
→ E••• R••• C•••••• M•••••••••Registered adviserother investment adviser, control
factForm ADV
→ ERG ASSET MANAGEMENT LLCRegistered adviserpooled vehicle sponsor
factForm ADV

Controls (6)

← E••• R••• C•••••• M••••••••• L••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed9323ce-c3b8-29a0-726a-5e400437853b
First observed: Mar 30, 2012
Last observed: May 18, 2012 174 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.