DFX Intelligence

A••• C•••••• M••••••••• ••• Y•••• 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

A••• C•••••• M••••••••• ••• Y•••• L••

CRD 150682

SOUTHPORT, CT

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Search this name across graphsid dfx:ria:f0b87cc5-ab86-1866-4b50-81c226a44953

Data as of Jul 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jul 16, 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: $10.0M••• Locked
Discretionary RAUM: $10.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $10.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• H••• L••	n/a	SOUTHPORT, CT	13	22	1	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• G••••• J•••• G•••••• C•••• H••••••• L•••	Hedge Fund	$10.0M	Jul 16, 2012	2	Mar 28, 2012	reported	021-129532

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• C•••••• M••••••••• •••••••• L•••	MANAGING MEMBER	E	yes	01/2009	Mar 28, 2012	Jul 16, 2012
K•••• K••••• ••••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2010	Mar 28, 2012	Jul 16, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• C•••••• M••••••••• ••••••• L•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 28, 2012	$10.0M	$10.0M	n/a	n/a	n/a	1	$10.0M

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$10.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (1)

← C•••• H••• L••Advisorregistration: previous registration
Oct 15, 2012 to Nov 30, 2012factForm ADV

Advises (1)

→ A••• G••••• J•••• G•••••• C•••• H••••••• L•••Private fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV

Controls (4)

← L••• C••••• H•••OwnerSHAREHOLDER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0b87cc5-ab86-1866-4b50-81c226a44953
First observed: Mar 28, 2012
Last observed: Jul 16, 2012 172 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.