DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

C••••••••• I••••••••• P•••••••• L•••

CRD 277036

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:2f4940fa-1aad-bb1f-a678-02d863f47a59

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 19
On other graphs: 2
Observed: Mar 28, 2018 to Mar 31, 2026
17 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

C••••••••• I••••••••• P•••••••• L•••

P•••••• equity manager · shared crd

Independent Sponsorsidentity

C••••••••• I••••••••• P•••••••• L•••

Capital provider to sponsors · shared crd

Private Equityowner

G•• P•••••• C•••••• S•••••••• L••

schedule ab owner name equals pe organization name · confidence 50%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $1.6B
P•••••• client RAUM: $0derived••• Locked
P•••••• client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

P•••••• funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••••• I••••••••• F••• I••• L•••	P•••••• Equity Fund	$446M	Mar 31, 2026	379	Mar 31, 2022	reported	021-414410
C••••••••• I••••••••• F••• I•• L•••	P•••••• Equity Fund	$367M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• A••••••• M••••	Manager	C	yes	07/2015	Mar 28, 2018	Sep 4, 2024
A••••• A••••••• M••••	PARTNER AND CHIEF COMPLIANCE OFFICER	C	yes	07/2015	Mar 28, 2018	Sep 4, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Larkspur	CA	United States	4	no
MENLO PARK	CA	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	P•••••• funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.6B	$1.6B	1.1%	$1.3B	7.9%	12	13	2	3

Relationships

Advises (32)

→ C••••••••• I••••••••• F••• I••••• L•••Private fundP•••••• Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ C••••••••• 3••• S••••••• C••••••••• L•••Private fundP•••••• Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ C••••••••• S••••• C••••••••• I•• L•••Private fundP•••••• Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ C••••••••• C••••••••• C••••••••• F•••• L•••

Dated events

Occurred
Mar 31, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f4940fa-1aad-bb1f-a678-02d863f47a59
First observed: Mar 28, 2018
Last observed: Mar 31, 2026 5 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.