DFX Intelligence

A•••••••• S•••••••• I••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A•••••••• S•••••••• I••••••••• L••

CRD 157151

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:f1093e69-6c83-b0e3-d31d-1a4ae83195fb

Data as of Oct 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Oct 12, 2012
2 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: $3.4B••• Locked
Discretionary RAUM: $3.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 9
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•• M••••• F•••• L•	Hedge Fund	$108M	Oct 12, 2012	9	Apr 2, 2012	reported	n/a
A•• G••••• R••••••• F•••• L•	Hedge Fund	$108M	Oct 12, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• D••••• N•••••	OWNER, A•••••••• S•••••••• I••••••••• LLC, G	E	yes	01/2003	Apr 2, 2012	Oct 12, 2012
A••••••• M•••••• S•••••	PORTFOLIO MANAGER	Na	no	01/2003	Apr 2, 2012	Oct 12, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• S•••••••• I••••••••• U• L••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Apr 2, 2012	$3.4B	$3.4B	n/a	n/a	n/a	3	$325M

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	$3.4B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (3)

→ A•• G••••• R••••••• F•••• L•Private fundHedge Fund, IA
Apr 2, 2012 to presentfactForm ADV
→ A•• O••••••• G••••• R••••••• F•••• L••Private fundHedge Fund, IA
Apr 2, 2012 to presentfactForm ADV
→ A•• M••••• F•••• L•Private fundHedge Fund, IA
Apr 2, 2012 to presentfactForm ADV

Controls (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1093e69-6c83-b0e3-d31d-1a4ae83195fb
First observed: Apr 2, 2012
Last observed: Oct 12, 2012 169 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.