DFX Intelligence

C••••••• C•••••• P••••••• 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

C••••••• C•••••• P••••••• L••

CRD 160671

CLEVELAND, OH

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Search this name across graphsid dfx:ria:146d6d58-53a7-44d1-4234-476a7131a9e5

Data as of Feb 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to Feb 14, 2012
1 observations

Across DFX

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

Private Equityidentity

C••••••• C•••••• P••••••• 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: $700M••• Locked
Discretionary RAUM: $250M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 7
Private funds

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• C••••••••• M•••	MANAGING PARTNER	D	yes	01/2011	Feb 14, 2012	Feb 14, 2012
S••••••• B•••• A•••	MANAGING PARTNER	D	yes	01/2011	Feb 14, 2012	Feb 14, 2012

Affiliates (Item 7.A)

••• Locked

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

Relationships

Controls (2)

← S••••••• B•••• A•••OwnerMANAGING PARTNER, ownership code D, individual
Feb 14, 2012 to presentfactForm ADV
← H•••••••• C••••••••• M•••OwnerMANAGING PARTNER, ownership code D, individual
Feb 14, 2012 to presentfactForm ADV

Owns (1)

← M••••••• J••••••• L••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:146d6d58-53a7-44d1-4234-476a7131a9e5
First observed: Feb 14, 2012
Last observed: Feb 14, 2012 177 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.