DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S•• A•••• M••••••••• L••

CRD 162653

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Search this name across graphsid dfx:ria:fe662a34-491a-a757-f1c2-96872fdedead

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2021 to Mar 30, 2026
11 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: asset managerderivedprivate_client_share=0.0 fund_share=0.75 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $255M••• Locked
Discretionary RAUM: $255M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• M••••• P•••••••• L•••	Hedge Fund	$160M	May 1, 2024	49	Mar 30, 2012	reported	021-383634

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A•••• L•••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2021	Mar 31, 2021	May 1, 2024
G••••••••• L•••••••• J•••••	SOLE MANAGING MEMBER	E	yes	11/2002	Mar 31, 2021	May 1, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$255M	$280M	-8.9%	$203M	7.9%	2	2	0	0

Relationships

Advises (1)

→ S•••• M••••• P•••••••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (2)

← G••••••••• L•••••••• J•••••OwnerSOLE MANAGING MEMBER, ownership code E, individual
Mar 31, 2021 to May 1, 2024factForm ADV
← A•••••• A•••• L•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2021 to May 1, 2024factForm ADV

Dated events

Occurred
Mar 31, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe662a34-491a-a757-f1c2-96872fdedead
First observed: Mar 31, 2021
Last observed: Mar 30, 2026 5 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.