DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A••• E•• M••••••••• L••

CRD 156751

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:11b93b96-ad97-907f-aa20-f76ef7c24279

Data as of Jun 20, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 1
On other graphs: 4
Observed: Feb 14, 2012 to Jun 20, 2018
11 observations

Across DFX

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

Private Equityidentity

A••• E•• M••••••••• L••

Private equity manager · cited, shared crd

Allocatorsidentity

A••• E•• M••••••••• L••

Manager with allocator commitments · cited, shared crd

Private Creditidentity

A••• C•••••• M••••••••• I• L••

adv common controlling ancestor · confidence 90% · family precision 100%

Private Creditidentity

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: $3.9B••• Locked
Discretionary RAUM: $3.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• F•••••• F••• I••• L•••	Private Equity Fund	$0	Feb 14, 2012	9	Feb 14, 2012	dropped	021-9999999999
U••• I• C••••••••• F•••••••• L•••	Private Equity Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• H••••• L••	GENERAL PARTNER	F	yes	07/2016	Mar 30, 2016	Jun 20, 2018
A••• H••••• L••	GENERAL PARTNER	F	yes	07/2016	Mar 30, 2016	Jun 20, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• M••••••••• L••	n/a	ASSET_M••••••	$459B	Y	yes	n/a
A••• C•••••• M••••••••• L••	n/a	ASSET_M••••••	$98B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
MILL VALLEY	CA	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 31, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$3.9B	$5.4B	-28.6%	$4.9B	-7.4%	33	43	3	n/a

Relationships

Affiliated with (20)

← A••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← A••• C•••••• M••••••••• I• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← A••• C••••••••• R••• E••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← I•• H••• A•••• M••••••••• L•••Registered adviser

Dated events

Occurred
Mar 31, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-1.5B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11b93b96-ad97-907f-aa20-f76ef7c24279
First observed: Feb 14, 2012
Last observed: Jun 20, 2018 100 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.