DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

C••••• C••••••• L••

CRD 142527

LA JOLLA, CA

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Data as of Mar 18, 2025 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 12
On other graphs: 4
Observed: Mar 23, 2012 to Mar 18, 2025
51 observations

Across DFX

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

Private Equityidentity

C••••• C••••••• L••

Private equity manager · same SEC CIK, same CRD, same SEC file number

Family Officesidentity

C••••• C••••••• L••

Family office · same SEC CIK, same CRD, same SEC file number

Private Creditidentity

C••••• C••••••• L••

Private credit manager · same SEC CIK, same CRD, same SEC file number

Allocatorsidentity

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: $2.3B••• Locked
Discretionary RAUM: $2.3B
Private client RAUM: $2.3Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• C•••••• D••••••••• D••• A•• I••••• O••••••••• F••• I• L• A• P•••••••••	Private Equity Fund	$257,135	Oct 1, 2014	28	Mar 23, 2012	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• R•••• J••••	MANAGING PARTNER/CHIEF EXECUTIVIE OFFICER	B	yes	01/2007	Mar 23, 2012	Nov 6, 2024
C•••••• T••••••• S••••	MANAGING PARTNER/ CHIEF FINANCIAL OFFICER/CHIEF INVESTMENT OFFICER	C	yes	01/2007	Mar 23, 2012	Nov 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••••• L••• D••• C••••• C•••••• I•••••••• S••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Austin	TX	United States	4	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
2024	$2.3B	$1.9B	23.7%	$1.5B	16.5%	21	18	2	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••••••• C•••••• L••	5	May 15, 2025	May 5, 2025	LA JOLLA, CA	Firm absorbed	RIA to RIA	83.3%

Relationships

Registered with (12)

← T••••• M•••••• C•••••Advisorregistration: previous registration
Jan 12, 2007 to May 15, 2025factForm ADV
← T•••••• S•••• C•••••Advisorregistration: previous registration
Jan 12, 2007 to May 15, 2025factForm ADV
← R••• J•••• C•••••Advisorregistration: previous registration
Jan 12, 2007 to May 15, 2025factForm ADV
← J••• K••••••• K•••

Dated events

Order

Occurred
2 Jun 2025
Left the SEC roster
••• Locked
Form ADV
$2.3B
Occurred
15 May 2025
Firm absorbed
••• Locked
Form ADV
4 advisors
Occurred
15 May 2025
Advisor changed firm7 events
C••••• C••••••• L••: advisor changed firm, 7 counterparties, on 15 May 2025
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
16 Feb 2024
Regulatory AUM changed
••• Locked
Form ADV
$407M
Occurred
28 Oct 2022
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 23, 2012
Last observed: Mar 18, 2025 18 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 16, 2015	$705M	$705M	9	4	n/a	n/a	n/a
2013	Mar 21, 2014	$586M	$586M	6	3	n/a	1	$257,135
2012	Mar 15, 2013	$411M	$411M	6	4	n/a	1	$1.1M
2011	Mar 23, 2012	$292M	$292M	n/a	n/a	n/a	1	$1.1M