DFX Intelligence

C•••• C•••••• N•••• A•••••• I•••: 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 adviserformer SEC advisernot on rosterRAUM 100m 1b

C•••• C•••••• N•••• A•••••• I•••

CRD 156809

STAMFORD, CT

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:f30b31b3-a594-19b1-ba10-965c4de50d38

Data as of Apr 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jan 4, 2013 to Apr 2, 2018
9 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: $339M••• Locked
Discretionary RAUM: $339M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• I• F•••••• L•••	Securitized Asset Fund	$633M	Nov 27, 2015	0	Mar 31, 2015	dropped	n/a
N•••••• C•• 2••••• L••	Securitized Asset Fund	$97.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• C•••••• G•••• L••••••	SOLE SHAREHOLDER	E	yes	02/2011	Jan 4, 2013	Apr 2, 2018
G••••• J••••••••• M••••	CFO / CCO /TREASUER	Na	yes	02/2011	Jan 4, 2013	Apr 2, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• C•••••• L••••••	n/a	Asset manager	$5.3B	N	yes	n/a
A•• C•••••• M•••••• I•••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Apr 2, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$339M	$390M	-13.2%	$1.8B	-42.9%	4	5	0	n/a

Relationships

Affiliated with (1)

→ POLUS CAPITAL MANAGEMENT L••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (6)

→ F•••••• 1• F•••••• L•••Private fundSecuritized Asset Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ A••••• I•• F•••••• L•••Private fundSecuritized Asset Fund, IA
Mar 31, 2015 to presentfactForm ADV
→

Dated events

Occurred
Jan 4, 2013
First Form ADV filing
C•••• C•••••• N•••• A•••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f30b31b3-a594-19b1-ba10-965c4de50d38
First observed: Jan 4, 2013
Last observed: Apr 2, 2018 103 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.