DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C•••• T••• M••••••••• L•

CRD 313118

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Search this name across graphsid dfx:ria:09441770-69b3-a31c-0001-a743ff8337fb

Data as of Sep 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 5
On other graphs: 3
Observed: Apr 2, 2021 to Sep 1, 2026
13 observations

Across DFX

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

Venture Capitalidentity

C•••• T••• M••••••••• L•

Venture manager · shared crd

Independent Sponsorsidentity

C•••• T••• M••••••••• L•

Capital provider to sponsors · shared crd

Private Equityidentity

C•••• T••• 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: $560M••• Locked
Discretionary RAUM: $560M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••• T••• P•••••••• L•	Private Equity Fund	$293M	Sep 1, 2026	40	Aug 30, 2021	reported	021-402009
C•••• T••• S•••• C•••••••• L•	Venture Capital Fund	$25.2M	Sep 1, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• T••• P•••••••• L••	GENERAL PARTNER	Na	yes	01/2021	Apr 2, 2021	Mar 19, 2024
R••••••••• A•••• H••••	Trustee	F	yes	10/2014	Apr 2, 2021	Mar 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• T••• P••••••• G•• L•	n/a	n/a	n/a	N	yes	n/a
C•••• T••• P••••••• U••• L••	n/a	n/a	n/a	N	yes	n/a

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	$560M	$510M	9.9%	$467M	6.3%	9	8	0	0

Relationships

Advises (2)

→ C•••• T••• S•••• C•••••••• L•Private fundVenture Capital Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ C•••• T••• P•••••••• L•Private fundPrivate Equity Fund, IA
Aug 30, 2021 to presentfactForm ADV

Controls (7)

← W•••••••• W••••••• J•••OwnerTRUSTEE, ownership code F, individual
Apr 2, 2021 to Mar 19, 2024factForm ADV
← W•••••••• H•••••• K•••

Dated events

Occurred
Sep 1, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$19.1M
Occurred
Sep 1, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$12.4M
Occurred
Sep 1, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$162M
Occurred
Mar 31, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09441770-69b3-a31c-0001-a743ff8337fb
First observed: Apr 2, 2021
Last observed: Sep 1, 2026 22 days 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.