DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

S•••••••• C•••••• M••••••••• L•••

CRD 161466

G••••••••

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Search this name across graphsid dfx:ria:036b287b-20f6-54ab-6711-030443e13dab

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 1
Observed: Feb 13, 2012 to Mar 30, 2026
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S•••••••• C•••••• M••••••••• L•••

Private equity manager · shared crd

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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $75.9M••• Locked
Discretionary RAUM: $75.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• C•••• V•••• I••• L•••	Private Equity Fund	$30.2M	Mar 30, 2026	44	Mar 31, 2015	reported	n/a
S•••••••• C•••• V•••• I•• L•••	Private Equity Fund	$21.4M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Z••••• X••••••	CO-FOUNDER & MANAGING PARTNER	D	yes	05/2004	Feb 13, 2012	Mar 28, 2024
F•••••• B•••••••• W•	Shareholder	C	no	05/2004	Feb 13, 2012	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Beijing	n/a	China	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$75.9M	$163M	-53.4%	$245M	-32.4%	15	20	1	1

Relationships

Advises (4)

→ S•••••••• I•• C••••••••• L•••Private fundPrivate Equity Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ S•••••••• C•••• V•••• I•• L•••Private fundPrivate Equity Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ S•••••••• C•••• V•••• I••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ S•••••••• C•••• V•••• I• L•••

Dated events

Occurred
Mar 30, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-164M
Occurred
Mar 30, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
0 USD_GAV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:036b287b-20f6-54ab-6711-030443e13dab
First observed: Feb 13, 2012
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.