DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

C•••• P•••••••• L••

CRD 290937

SOUTH BEND, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04a6adc6-f6ab-c7e7-9aa1-0129b0b67a12

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 12
On other graphs: 4
Observed: Sep 26, 2018 to Apr 30, 2026
17 observations

Across DFX

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

Venture Capitalidentity

C•••• P•••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

C•••• P•••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

C•••• P•••••••• L••

Private equity manager · shared crd

Real Estate Fundsidentity

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=true related_bank=true bd_reps=5.0
Regulatory AUM: $2.0B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••• F•••••••• L••	Real Estate Fund	$320M	Apr 30, 2026	11	Dec 22, 2017	reported	021-298432
C•••• F••••••• H•••••••• L•	Real Estate Fund	$50.0M	Sep 26, 2018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• J••• L•••••••• A••••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2023	Mar 29, 2024	May 3, 2024
V••••• P••••• J•••	SENIOR MANAGING MEMBER & PRESIDENT	D	yes	04/2009	Sep 26, 2018	May 3, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Hingham	Ma	United States	5	yes
Chicago	IL	United States	2	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 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	$2.0B	n/a	n/a	$306M	85.5%	21	n/a	1	n/a

Relationships

Advises (4)

→ C•••• F••• • A••••••••• O••••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Dec 22, 2017 to presentfactForm ADV
→ C•••• F•••••••• L••Private fundReal Estate Fund, IA
Dec 22, 2017 to presentfactForm ADV
→ C•••• S••••••••• F••• • A••••••••• B••••• F•••• L•Private fundPrivate Equity Fund, IA
Mar 27, 2020 to presentfactForm ADV
→ C•••• F••••••• H•••••••• L•

Dated events

Occurred
Apr 30, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Apr 30, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Apr 30, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Apr 30, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04a6adc6-f6ab-c7e7-9aa1-0129b0b67a12
First observed: Sep 26, 2018
Last observed: Apr 30, 2026 4 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.