DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C••••• C•••••• S•• L••

CRD 283073

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:0aa70d28-3278-d9c7-bf90-88b3436946fe

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 2
Observed: Nov 17, 2023 to Mar 27, 2026
6 observations

Across DFX

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

Private Equityidentity

C••••• C•••••• S•• L••

Private equity manager · shared crd

Independent Sponsorsidentity

C••••• C•••••• S•• L••

Capital provider to sponsors · 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: $197M••• Locked
Discretionary RAUM: $197M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C• U••• L•	Private Equity Fund	$81.8M	Jun 7, 2024	25	Mar 21, 2022	reported	021-404966
C••••• C•••••• T••••••••• O••••••••• I• L•	Private Equity Fund	$26.4M	Jun 7, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• J•••• T••••	MANAGER, MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER	E	yes	11/2015	Nov 17, 2023	Jun 7, 2024
R••••••• J•••• B••••••	CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Nov 17, 2023	Jun 7, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 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	$197M	$213M	-7.5%	n/a	n/a	4	4	0	0

Relationships

Affiliated with (1)

← D••••••• C•••••• P••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Advises (11)

→ C•••• U•••• L•Private fundPrivate Equity Fund, IA
Mar 18, 2019 to presentfactForm ADV
→ C••• R••• L•Private fundPrivate Equity Fund, IA
Mar 5, 2021 to presentfactForm ADV
→

Dated events

Occurred
Nov 17, 2023
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0aa70d28-3278-d9c7-bf90-88b3436946fe
First observed: Nov 17, 2023
Last observed: Mar 27, 2026 5 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.