DFX Intelligence

C•••••••• P••••••• I• M••••••••• 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•••••••• P••••••• I• M••••••••• L••

CRD 161671

NEW YORK, NY

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Search this name across graphsid dfx:ria:1ef30a4f-f7c0-abd3-57a5-76194e303581

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 2
Observed: Feb 15, 2012 to Mar 28, 2018
12 observations

Across DFX

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

Private Equityidentity

C•••••••• P••••••• I• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

C•••••••• P••••••• I• M••••••••• 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $163M••• Locked
Discretionary RAUM: $163M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• P••••••• I• L••••••	Private Equity Fund	$15.1M	Apr 9, 2026	7	Feb 15, 2012	reported	021-75003
C• I• O• C••••••••• L••	Private Equity Fund	$69,713	Aug 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• D••••• J•••••	CCO, CFO	Na	yes	04/2011	Feb 15, 2012	Mar 28, 2018
C•••••••• P••••••• C••••••• L••	M••••••• M••••• O• C•••••••• P••••••• I• H••••••• L••	Na	yes	08/2015	Aug 21, 2015	Mar 28, 2018

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

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	$163M	$192M	-15.1%	$427M	-27.4%	5	6	0	n/a

Relationships

Advises (8)

→ C•••••••• P••••••• I• L••••••Private fundPrivate Equity Fund, ERA
Feb 15, 2012 to presentfactForm ADV
→ C• I• B•• C••••••••• L••Private fundPrivate Equity Fund, ERA
Sep 27, 2019 to presentfactForm ADV
→ C• I• O• C••••••••• L••Private fundPrivate Equity Fund, ERA
Sep 27, 2019 to presentfactForm ADV
→ C• I• D•• C••••••••• L••

Dated events

Occurred
Apr 9, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$69,713

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ef30a4f-f7c0-abd3-57a5-76194e303581
First observed: Feb 15, 2012
Last observed: Mar 28, 2018 103 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.