DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

S••••••• F••• A•••••••• L••

CRD 158634

SANTA MONICA, CA

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Search this name across graphsid dfx:ria:1bb51708-b215-d8d0-1b54-43c81a009206

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 2
On other graphs: 2
Observed: Mar 30, 2012 to Mar 30, 2026
27 observations

Across DFX

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

Private Equityidentity

S••••••• F••• A•••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S••••••• F••• A•••••••• L••

Capital provider to sponsors · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.5 institutional_share=0.5 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $461M••• Locked
Discretionary RAUM: $395M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••• M•••••••• O••••••••• F••• V• L•	Private Equity Fund	$52.2M	Mar 30, 2026	62	Mar 30, 2017	reported	021-288381
S••••••• M•••••••• O••••••••• F••• I• L•	Private Equity Fund	$36.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• S••• H•••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2016	Nov 14, 2016	Nov 12, 2024
S••••••• F••• M•••••••• L••	Member	E	yes	07/2012	Jan 30, 2017	Nov 12, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
REDWOOD SHORES	CA	United States	1	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
2025	$461M	$219M	110.9%	$319M	13.0%	11	9	2	1

Relationships

Advises (12)

→ S••••••• M•••••••• O••••••••• F••• V• L•Private fundPrivate Equity Fund, IA
Mar 30, 2017 to presentfactForm ADV
→ L••••••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2018 to presentfactForm ADV
→ S••••••• M•••••••• O••••••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S••••••• M••••••• O••••••••• F••• V•• L•

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$243M
Occurred
Mar 22, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1bb51708-b215-d8d0-1b54-43c81a009206
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 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.