DFX Intelligence

I•• 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

I•• C••••••• L•

CRD 171940

DALLAS, TX

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Search this name across graphsid dfx:ria:1b89ce8d-2f26-7c23-f8b9-ab4a0ab7751b

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 7
On other graphs: 2
Observed: Jun 1, 2016 to Mar 30, 2021
10 observations

Across DFX

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

Private Equityidentity

I•• C••••••• L•

Private equity manager · key crd, key sfn adviser, shared crd

Venture Capitalidentity

I•• C••••••• L•

Venture manager · key crd, key sfn adviser, 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: $285M••• Locked
Discretionary RAUM: $285M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•• R••••••••• L••	Private Equity Fund	$159M	Mar 30, 2021	21	Mar 28, 2018	reported	021-308484
I•• C•••• F• I••••••••• V•••••• I• L•••	Private Equity Fund	$68.8M	Mar 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• N•••• P•••••	MANAGING DIRECTOR / LIMITED PARTNER	C	yes	05/2014	Jun 1, 2016	Mar 30, 2021
B•••• N•••• P•••••	MEMBER / MANAGER	C	yes	05/2014	Jun 1, 2016	Mar 30, 2021

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 30, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$285M	$371M	-23.2%	$811M	-29.4%	12	13	1	1

Relationships

Advises (13)

→ I•• C•••• F• I••••••••• V•••••• I• L•••Private fundPrivate Equity Fund, ERA
Mar 30, 2016 to presentfactForm ADV
→ I•• C•••••• I••••••••• I• L•Private fundPrivate Equity Fund, ERA
Nov 11, 2014 to presentfactForm ADV
→ I•• C••••••••• P•••••••• L•Private fundPrivate Equity Fund, ERA
Mar 30, 2016 to presentfactForm ADV
→ I•• M••••••••• P••••••• I• L•••

Dated events

Occurred
Oct 12, 2021
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Mar 30, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-366M
Occurred
Oct 15, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1b89ce8d-2f26-7c23-f8b9-ab4a0ab7751b
First observed: Jun 1, 2016
Last observed: Mar 30, 2021 66 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.