DFX Intelligence

L•••••• E••• I••••••••• A•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

L•••••• E••• I••••••••• A•••••••••

CRD 136476

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:0b8f9f48-eb72-5266-f716-9b9cbc2ac6dc

Data as of Feb 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 1
Observed: Feb 7, 2012 to Feb 26, 2026
15 observations

Across DFX

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

Private Creditidentity

L•••••• E••• I••••••••• A•••••••••

Private credit manager · key crd, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $5.2B••• Locked
Discretionary RAUM: $5.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••• G•• I••••••••• L••	Other Private Fund	$569M	Mar 11, 2019	2	Mar 29, 2016	dropped	n/a
L••• G•••• T•••• • E••••••• M•••••• F•••	Other Private Fund	$232M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• C••••• W••••••	EXECUTIVE VICE PRESIDENT, MEMBER	B	yes	07/2005	Feb 7, 2012	Mar 6, 2024
J••• C••••••• C•••	PRESIDENT / CEO / MANAGING MEMBER	E	yes	07/2005	Feb 7, 2012	Mar 6, 2024

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	$5.2B	$4.9B	6.1%	$3.3B	15.9%	13	14	0	0

Relationships

Advises (4)

→ L••• G•••• T•••• • E••••••• M•••••• F•••Private fundOther Private Fund, IA
Mar 11, 2019 to presentfactForm ADV
→ L••• G•• I••••••••• L••Private fundOther Private Fund, IA, no longer reported
Mar 29, 2016 to Mar 11, 2019factForm ADV
→ L••• C••••• O••••••••• F•••• L•Private fundHedge Fund, IA, no longer reported
Feb 21, 2013 to Mar 30, 2018factForm ADV
→ E•• P••••• E••••• E••••••• M••••••• I•• L•

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b8f9f48-eb72-5266-f716-9b9cbc2ac6dc
First observed: Feb 7, 2012
Last observed: Feb 26, 2026 6 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.