DFX Intelligence

C•••• E••••• C••••••• 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

C•••• E••••• C••••••• L••

CRD 133013

TUCSON, AZ

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Search this name across graphsid dfx:ria:39797c9f-2271-215f-ccc0-1ea8391643c7

Data as of Apr 4, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Apr 4, 2013
2 observations

Across DFX

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

Private Equityidentity

C•••• E••••• C••••••• 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: $28.9M••• Locked
Discretionary RAUM: $28.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E•••••• C•••••• P•••••••• L• • S••••• T•	Private Equity Fund	$232,602	Apr 4, 2013	27	Apr 4, 2013	reported	021-1473378
E•••••• C•••••• P•••••••• L••• S••••• V•	Private Equity Fund	$185,713

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• P•••••••	CHIEF COMPLIANCE OFFICER/CHIEF ADMINISTRATIVE OFFICER	Na	yes	04/2011	Mar 30, 2012	Apr 4, 2013
B••••••••• S••••• A•••	MANAGING MEMBER	E	yes	04/2004	Mar 30, 2012	Apr 4, 2013

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 4, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$28.9M	$54.1M	-46.6%	n/a	n/a	5	n/a	n/a	n/a

Relationships

Advises (2)

→ E•••••• C•••••• P•••••••• L• • S••••• T•Private fundPrivate Equity Fund, IA
Apr 4, 2013 to presentfactForm ADV
→ E•••••• C•••••• P•••••••• L••• S••••• V•Private fundPrivate Equity Fund, IA
Apr 4, 2013 to presentfactForm ADV

Controls (3)

← B••••••••• S••••• A•••OwnerMANAGING MEMBER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← S••••••••• G•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39797c9f-2271-215f-ccc0-1ea8391643c7
First observed: Mar 30, 2012
Last observed: Apr 4, 2013 163 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.