DFX Intelligence

A••••• I••••••••• A••••••• U•• 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

A••••• I••••••••• A••••••• U•• L••

CRD 146457

NEW YORK, NY

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Search this name across graphsid dfx:ria:f580c8c5-78b2-ac98-f6fd-7eef8449f83a

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 0
Observed: Jan 19, 2012 to Mar 30, 2012
4 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: $193M••• Locked
Discretionary RAUM: $193M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 2
Private funds

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••	Shareholder	E	yes	01/2008	Jan 19, 2012	Mar 30, 2012
C••••• A••••••• S•	Shareholder	E	yes	07/2004	Jan 19, 2012	Mar 30, 2012
D••••••• E•••••• P•••••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• J•••• L•••	n/a	Former SEC adviser	$40B	N	no	n/a
A••••• A••••••••• I••••••••• L••	n/a	Former SEC adviser	$869M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$193M	$193M	n/a	n/a	n/a	1	$98.6M

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	$193M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ A••••• J•••• L•••Registered adviserother investment adviser
factForm ADV
→ A••••• I••••••••• U••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← N•••••• U••• W••••••OwnerSENIOR INSTITUTIONAL SALES OFFICER, ownership code NA, individual
Jan 19, 2012 to presentfactForm ADV
← P••••• P••••••• R•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual

Dated events

Occurred
Jan 20, 2012
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f580c8c5-78b2-ac98-f6fd-7eef8449f83a
First observed: Jan 19, 2012
Last observed: Mar 30, 2012 176 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.