DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S••••• I••••••••• A••••••• L••

CRD 122149

STAMFORD, CT

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Search this name across graphsid dfx:ria:2428072a-0d52-5373-9618-7a80c6b8ed6b

Data as of May 20, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 132
Dated events: 5
On other graphs: 1
Observed: Mar 21, 2012 to May 20, 2022
20 observations

Across DFX

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

Private Equityidentity

S••••• I••••••••• A••••••• 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: $35.4M••• Locked
Discretionary RAUM: $35.4M
Private client RAUM: $8.4Mderived••• Locked
Private client share: 24%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• P•••••• I••••••••• F••• L•	Private Equity Fund	$98.3M	Mar 31, 2021	36	Mar 21, 2012	dropped	021-121922
S••••• G••••• E••••••• F••• L•	Hedge Fund	$55.7M	Mar 28, 2016

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• J•••• C•••••••••	CEO / MANAGING MEMBER / CCO	E	yes	09/2001	Mar 21, 2012	May 20, 2022
M••••••• M••••••• T••••••	MANAGING MEMBER	C	yes	12/2018	Mar 27, 2019	May 20, 2022

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2021	$35.4M	$182M	-80.6%	$295M	-50.7%	2	8	0	0

Relationships

showing 80 of 132

Advises (78)

→ A•• T•••••• F••• I• L••Private fundPrivate Equity Fund, ERA
Mar 28, 2012 to presentfactForm ADV
→ A•• 2••• V•••••• A••••• F••• I••• L••Private fundPrivate Equity Fund, ERA
Mar 27, 2015 to presentfactForm ADV
→ A•• B••••••••• I••••••••• I•• L••Private fundPrivate Equity Fund, ERA
Mar 31, 2022 to presentfactForm ADV
→ A•• 2••• V••••••• I•• L••

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-147M
Occurred
Mar 30, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-244M
Occurred
Mar 27, 2019
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2428072a-0d52-5373-9618-7a80c6b8ed6b
First observed: Mar 21, 2012
Last observed: May 20, 2022 52 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.