DFX Intelligence

A•••••• G••••• I•••••••• S•••••••• 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

A•••••• G••••• I•••••••• S•••••••• L••

CRD 147825

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:2b0c5712-5165-7ed8-b5b1-4bc6141fb503

Data as of Apr 4, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2011 to Apr 4, 2012
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $282M••• Locked
Discretionary RAUM: $282M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 2
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A•••• M••••••••• O• A•••••• L••	Partner	E	yes	12/2009	Dec 23, 2011	Apr 4, 2012
A•••••• A•••• M••••••••• O• A•••••• L•••	Member	E	yes	06/2008	Dec 23, 2011	Apr 4, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••• G••••• I•••••••• F••• M••••••••• L••	n/a	Former SEC adviser	$30B	N	yes	n/a
A•••••• G••••• I•••••••• C•••••• L••	n/a	Former SEC adviser	$5.0B	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$1.1B	$282M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$282M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ A•••••• G••••• I•••••••• F••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A•••••• G••••• I•••••••• U••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (6)

← F••••• C••••••• H••••OwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Dec 23, 2011 to presentfactForm ADV
← S••••••• S••••••• C••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b0c5712-5165-7ed8-b5b1-4bc6141fb503
First observed: Dec 23, 2011
Last observed: Apr 4, 2012 176 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.