DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

G••••••••• C•••••• M••••••••• L••

CRD 277101

PORTLAND, ME

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Search this name across graphsid dfx:ria:098665ea-6115-9df1-f8c4-50f28c565501

Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 30
On other graphs: 2
Observed: Aug 5, 2015 to Jul 17, 2026
32 observations

Across DFX

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

Private Equityidentity

G••••••••• C•••••• M••••••••• L••

Private equity manager · key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

G••••••••• C•••••• M••••••••• L••

Capital provider to sponsors · 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $3.1B••• Locked
Discretionary RAUM: $3.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 128

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G••••••••• D••••••••• O••••••••• F••• I• L•••	Private Equity Fund	$92.4M	Jul 17, 2026	80	Mar 26, 2021	reported	021-379170
G••••••••• D••••••••• O••••••••• F••• I• ••• L•••	Private Equity Fund	$89.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• R•••••••• E••••• C•••••• L••	SOLE SHAREHOLDER	E	yes	05/2022	Jun 16, 2022	Nov 20, 2024
G••••••••• R•••••••• E••••• C•••••••••	SOLE MEMBER	E	yes	05/2022	Jun 16, 2022	Nov 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••••••• A••••••••• L••	n/a	n/a	n/a	N	yes	n/a
G••••••••• R•••••••• E••••• C•••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	20	no
Denver	Co	United States	1	no
Montpelier	Vt	United States	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	$3.1B	$3.4B	-7.1%	$3.0B	0.9%	128	189	3	3

Relationships

Advises (4)

→ G••••••••• D••••••••• O••••••••• F••• I• ••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ G••••••••• D••••••••• O••••••••• F••• I• L•••Private fundPrivate Equity Fund, IA
Mar 26, 2021 to presentfactForm ADV
→ G••••••••• D••••••••• O••••••••• F••• I• ••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ G••••••••• D••••••••• O••••••••• F••• I•• L•••

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 17, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jul 17, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jul 17, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:098665ea-6115-9df1-f8c4-50f28c565501
First observed: Aug 5, 2015
Last observed: Jul 17, 2026 2 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.