DFX Intelligence

I••••••••• 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

I••••••••• L••

CRD 290169

SUMMIT, NJ

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Search this name across graphsid dfx:ria:f9db90da-fcf8-dea9-f8cc-2fcef7850526

Data as of Sep 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 27, 2018 to Sep 27, 2018
1 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: $30.6M••• Locked
Discretionary RAUM: $30.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••••• W••••• M••••• F••• L•••	Hedge Fund	$30.6M	Sep 27, 2018	20	Sep 25, 2017	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••• J•••••••• J••••	Member	C	yes	03/2015	Sep 27, 2018	Sep 27, 2018
K••••••• J•••••• T•••••	Member	C	yes	03/2015	Sep 27, 2018	Sep 27, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• M••••••• L••	n/a	n/a	n/a	Y	no	n/a

Relationships

Advises (1)

→ C••••••••• W••••• M••••• F••• L•••Private fundHedge Fund, IA
Sep 25, 2017 to presentfactForm ADV

Controls (6)

← R••••••••• R•••••• S••••OwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Sep 27, 2018 to presentfactForm ADV
← R••••••••• M•••• C••••OwnerCHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 27, 2018 to presentfactForm ADV
← M••••••• S••••••••Owner

Dated events

Occurred
Sep 27, 2018
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f9db90da-fcf8-dea9-f8cc-2fcef7850526
First observed: Sep 27, 2018
Last observed: Sep 27, 2018 97 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.