DFX Intelligence

C••••••••• R•••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

C••••••••• R•••••• I•••

CRD 110693

WILTON, CT

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Search this name across graphsid dfx:ria:03b31c57-78e8-f2eb-b9b4-3287a43ccd98

Data as of Sep 28, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Sep 28, 2015
9 observations

Across DFX

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

Real Estate Fundsidentity

C••••••••• R•••••• I•••

Real estate fund manager · key crd, key sfn adviser, shared crd

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: $324,875••• Locked
Discretionary RAUM: $324,875
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••••• R••••• P•••••••• L•	Real Estate Fund	$324,875	Sep 28, 2015	12	Mar 30, 2012	reported	021-9999999999

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• H•••••• C••••••	DELAWARE CORPORATION; SOLE SHAREHOLDER	E	yes	08/1997	Mar 30, 2012	Sep 28, 2015
D•••••• B••••• P••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2015	Mar 2, 2015	Sep 28, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• A•••• M••••••••• C••••••• I•••	n/a	Asset manager	$23B	N	yes	n/a
C••••••••• C••••••• I•••	n/a	Asset manager	$16B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Sep 28, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$324,875	$1.7M	-81.1%	$306M	-89.8%	0	3	n/a	n/a

Relationships

Affiliated with (2)

→ C• P•••••• E•••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ C••••••••• O•••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (1)

→ C••••••••• R••••• P•••••••• L•Private fundReal Estate Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (6)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03b31c57-78e8-f2eb-b9b4-3287a43ccd98
First observed: Mar 30, 2012
Last observed: Sep 28, 2015 133 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.