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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

U•••••••• C•••••• G•••• L••

CRD 164653

DAVIS, CA

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Search this name across graphsid dfx:ria:2400ca7f-79eb-f1c4-ca34-8bac8f6a1803

Data as of Jan 2, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 3
Observed: Oct 8, 2013 to Jan 2, 2025
11 observations

Across DFX

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

Venture Capitalidentity

U•••••••• C•••••• G•••• L••

Venture manager · shared crd

Independent Sponsorsidentity

U•••••••• C•••••• G•••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

U•••••••• C•••••• G•••• 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: $115MItem 5.F on the latest filing (2025-01-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $15.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• O••••••••• F••• I• L•	Other Private Fund	$7.3M	Mar 29, 2024	23	Apr 1, 2013	reported	021-164540
U•••••••• E••••• I•••••••• I• L•	Private Equity Fund	$6.6M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••• J•••••••• R••••	CO-TRUSTEE	E	yes	04/2011	Oct 8, 2013	Mar 29, 2024
M•••• J•••••••• R••••	CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER	Na	yes	04/2011	Oct 8, 2013

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$115M	$115M	0.0%	n/a	n/a	7	7	0	0

Relationships

Advises (4)

→ M••••• O••••••••• F••• I• L•Private fundOther Private Fund, IA
Apr 1, 2013 to presentfactForm ADV
→ U•••••••• E••••• I•••••••• I• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ U•••••••• E••••• I•••••••• I• L•Private fundPrivate Equity Fund, IA
Mar 29, 2024 to presentfactForm ADV
→ U•••••••• E••••• I•••••••• I•• L•

Dated events

Occurred
May 2, 2025
Left the SEC roster
U•••••••• C•••••• G•••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $115.2M)
Form ADVobserved 7 days ago
$115M
Occurred
Mar 31, 2023
Control person joined
D••••• J••• R••••••••• (Co-Trustee) appeared on Schedule A of U•••••••• C•••••• G•••• L••
Form ADVobserved 7 days ago
Occurred
Oct 8, 2013
First Form ADV filing
U•••••••• C•••••• G•••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2400ca7f-79eb-f1c4-ca34-8bac8f6a1803
First observed: Oct 8, 2013
Last observed: Jan 2, 2025 20 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.