DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

G•••••••• C•••••• P•••••••• L••

CRD 131280

NEW YORK, NY

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Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 1
Observed: Mar 30, 2012 to Mar 29, 2022
14 observations

Across DFX

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

Private Equityidentity

G•••••••• C•••••• P•••••••• L••

Private equity manager · key_crd, key_sfn_adviser, 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-63054
CRD: 131280

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• S••••• L••	M••••••• DIRECTOR AND INVESTMENT COMMITTEE	Na	yes	04/2004	Mar 30, 2012	Mar 29, 2022
G•••••••• • C••• I•••	Member	E	yes	05/2004	Mar 30, 2012	Mar 29, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•• M••••••• P•••••• I•• L•••	n/a	n/a	n/a	Y	no	n/a
G•••••••• • C••• L••	n/a	n/a	n/a	N	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	n/a	$83.1M	n/a	$224M	n/a	0	0	0	0

Relationships

Controls (6)

← P•••••• V•••••• F••••OwnerINVESTMENT COMMITTEE, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← B••• S••••• L••OwnerM••••••• DIRECTOR AND INVESTMENT COMMITTEE, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← N••••••• R•••••• H••••OwnerINVESTMENT COMMITTEE, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← G••••••••• R•••••• F•••••OwnerM••••••• DIRECTOR AND INVESTMENT COMMITTEE, ownership code NA, individual
Mar 30, 2012 to present

Dated events

Order

Occurred
31 Mar 2021
Control person left2 events
G•••••••• C•••••• P•••••••• L••: control person left, 2 events, on 31 Mar 2021
- ••• Locked
- ••• Locked
Occurred
31 Mar 2020
Regulatory AUM changed
••• Locked
Form ADV
$-140M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 29, 2022 54 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.