DFX Intelligence

E••••••••• C•••••• 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

E••••••••• C•••••• M••••••••• L••

CRD 139762

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Search this name across graphsid dfx:ria:2a8923a5-f318-760a-11c8-9dd398438e89

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 3
On other graphs: 1
Observed: Mar 27, 2012 to Mar 31, 2021
13 observations

Across DFX

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

Private Equityidentity

E••••••••• C•••••• M••••••••• 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: $104M••• Locked
Discretionary RAUM: $104M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••••••• P•••••••• L••	Private Equity Fund	$64.4M	Apr 25, 2020	23	Mar 26, 2014	reported	n/a
E••••••••• P•••••••• L••••• • C•••• N•	Hedge Fund	$21.4M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• A•••••• H•••	MANAGING MEMBER	E	yes	11/1995	Mar 27, 2012	Mar 31, 2021
N•••••••• I••••••	CCO AND COO	Na	yes	12/2020	Dec 18, 2020	Mar 31, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BUENOS AIRES	n/a	Argentina	3	no
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

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	$104M	$176M	-40.8%	$181M	-16.8%	11	11	2	1

Relationships

Advises (16)

→ E••••••••• P•••••••• L••••• • C•••• O•Private fundHedge Fund, ERA
Nov 5, 2020 to presentfactForm ADV
→ E••••••••• P•••••••• L••••• • C•••• G•Private fundPrivate Equity Fund, ERA
Nov 5, 2020 to presentfactForm ADV
→ Q•••••• S•••••••• M••••••••• L•Private fundHedge Fund, ERA
Mar 26, 2014 to presentfactForm ADV
→ E••••••••• T•••••• F•••• L•

Dated events

Occurred
Dec 18, 2020
Control person joined
I•••••• N••••••• (Cco And Coo) appeared on Schedule A of E••••••••• C•••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Dec 18, 2020
Control person left
Oliver Joseph Harper (Cco And Coo) no longer on Schedule A of E••••••••• C•••••• M••••••••• L•• (listed 2020-11-05, absent 2020-12-18)
Form ADVobserved 7 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
E••••••••• C•••••• M••••••••• L•• reported RAUM $181.0M, down 62% from $478.7M (2017-03-30 to 2018-03-29)
Form ADVobserved 7 days ago
$-298M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a8923a5-f318-760a-11c8-9dd398438e89
First observed: Mar 27, 2012
Last observed: Mar 31, 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.