DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

M•••••• C••••••• L••

CRD 136018

BETHESDA, MD

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Search this name across graphsid dfx:ria:0b36b533-a88b-5454-4494-0731b92d4965

Data as of May 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 1
Observed: Mar 29, 2012 to May 29, 2020
18 observations

Across DFX

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

Private Equityidentity

M•••••• C••••••• L••

Private equity manager · 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: $116M••• Locked
Discretionary RAUM: $116M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••••• I••••••••• • R••••• C••••••••• L•••	Private Equity Fund	$95.6M	May 29, 2020	52	Mar 29, 2012	reported	021-115249
M•••••• I•••• D•••••• A•••• F••• L•• •••• B••••	Hedge Fund	$20.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••• A•••••• P•••••	Member	E	yes	04/2009	Mar 29, 2012	May 29, 2020
P••••••• G•••••	SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER	Na	no	04/2004	Mar 29, 2012	May 29, 2020

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$116M	$154M	-24.4%	$127M	-2.8%	4	5	0	0

Relationships

Advises (9)

→ M•••••• I•••• D•••••• A•••• F••• L•• •••• B••••Private fundHedge Fund, IA
Oct 24, 2016 to presentfactForm ADV
→ M•••••• I•••• D•••••• A•••• F••• L•• •••• O••••Private fundHedge Fund, IA
Apr 2, 2019 to presentfactForm ADV
→ M•••••• I••••••••• • R••••• C••••••••• L•••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ M•••••• I•••• D•••••• A•••• F•••• L•••

Dated events

Occurred
Dec 19, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b36b533-a88b-5454-4494-0731b92d4965
First observed: Mar 29, 2012
Last observed: May 29, 2020 76 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.