DFX Intelligence

C••••• P••• C•••••• A•••••••• 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

C••••• P••• C•••••• A•••••••• L••

CRD 161191

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:075970af-b416-20f7-a823-798daa3f239a

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 2
Observed: Feb 15, 2012 to Mar 30, 2018
11 observations

Across DFX

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

Real Estate Fundsidentity

C••••• P••• C•••••• A•••••••• L••

Real estate fund manager · shared crd

Allocatorsidentity

C••••• P••• C•••••• A•••••••• L••

Manager with allocator commitments · 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: $79.1M••• Locked
Discretionary RAUM: $79.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• C•• I•• L•••	Securitized Asset Fund	$27.4M	Mar 5, 2021	1	Mar 30, 2018	reported	n/a
R•• C•• I••• L•••	Securitized Asset Fund	$19.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• J•••• M••••	MANAGING MEMBER	B	yes	06/2008	Feb 15, 2012	Mar 30, 2018
S••••• B••••• K•••	MANAGING MEMBER	A	yes	01/2010	Feb 15, 2012	Mar 30, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• M••••••• C••••• M••••••••• L••	n/a	Asset manager	$28B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$79.1M	$99.5M	-20.5%	$308M	-36.5%	12	7	0	n/a

Relationships

Advises (4)

→ R•• C•• I•• L•••Private fundSecuritized Asset Fund, ERA
Mar 30, 2018 to presentfactForm ADV
→ R•• C•• I• L•••Private fundSecuritized Asset Fund, ERA
Mar 30, 2018 to presentfactForm ADV
→ R•• C•• I••• L•••Private fundSecuritized Asset Fund, ERA
Mar 30, 2018 to presentfactForm ADV
→ C••••• P••• H•••••• F••• I• L•

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:075970af-b416-20f7-a823-798daa3f239a
First observed: Feb 15, 2012
Last observed: Mar 30, 2018 103 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.