DFX Intelligence

A••••••••• F••••••••• 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••••••••• F••••••••• L••

CRD 155600

NEW YORK, NY

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Search this name across graphsid dfx:ria:f8676051-f6c8-7fc6-bd1c-49e698ef9d12

Data as of Jul 20, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Mar 11, 2014 to Jul 20, 2020
14 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: $28.8M••• Locked
Discretionary RAUM: $28.8M
Private client RAUM: $4.2Mderived••• Locked
Private client share: 15%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••••• D•••••••• R••••• F•••• L•	Hedge Fund	$21.4M	Jul 20, 2020	2	Jul 2, 2014	reported	021-220169
A••••••••• 7•• F•••• L•	Hedge Fund	$3.2M	Jul 20, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• L•••	SOLE MEMBER	E	yes	04/2020	Apr 29, 2020	Jul 20, 2020
G••••••••• M•••••••• C••••	Manager	Na	yes	10/2010	Mar 11, 2014	Jul 20, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••••• G•• L••	n/a	n/a	n/a	Y	yes	n/a
A••••••••• P•••••••• 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
2019	Mar 26, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$28.8M	$86.0M	-66.6%	$67.0M	-24.6%	3	3	0	0

Relationships

Advises (2)

→ A••••••••• 7•• F•••• L•Private fundHedge Fund, IA
Mar 29, 2017 to presentfactForm ADV
→ A••••••••• D•••••••• R••••• F•••• L•Private fundHedge Fund, IA
Jul 2, 2014 to presentfactForm ADV

Controls (4)

← A••••••••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Apr 29, 2020 to presentfactForm ADV
← M•••••• M•••• R••••••Owner

Dated events

Occurred
Apr 29, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 29, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 11, 2014
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f8676051-f6c8-7fc6-bd1c-49e698ef9d12
First observed: Mar 11, 2014
Last observed: Jul 20, 2020 75 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.