DFX Intelligence

E• P•••••• E••••• U• I•••: 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• P•••••• E••••• U• I•••

CRD 163538

HOUSTON, TX

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Search this name across graphsid dfx:ria:39b81cf9-f221-6316-9f59-36421b29a007

Data as of Apr 14, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 6
On other graphs: 2
Observed: Mar 21, 2019 to Apr 14, 2022
6 observations

Across DFX

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

Private Equityidentity

E• P•••••• E••••• U• I•••

P•••••• equity manager · key crd, key sfn adviser, shared crd

Venture Capitalidentity

E• P•••••• E••••• U• I•••

Venture 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
Regulatory AUM: $142M••• Locked
Discretionary RAUM: $142M
P•••••• client RAUM: $0derived••• Locked
P•••••• client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

P•••••• funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••• V••••••• P•••••• E••••• V• L•	P•••••• Equity Fund	$94.7M	Mar 21, 2024	20	Mar 30, 2015	reported	n/a
E• P•••••• E••••• V• P••• L•	P•••••• Equity Fund	$74.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• J••••• H•	Shareholder	E	yes	06/2002	Mar 21, 2019	Apr 14, 2022
B•••••••• P••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2019	Mar 21, 2019	Apr 14, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••• V••••••• I• A•	n/a	n/a	n/a	N	yes	n/a
E••••• V••••••• I• B• A•	n/a	n/a	n/a	N	yes	n/a
E••••• V••••••• I•• ••• L•	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stavanger	n/a	Norway	8	no
Aberdeen	n/a	United Kingdom	6	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	P•••••• funds	Fund GAV
2021	Mar 23, 2022

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	$142M	$129M	10.0%	n/a	n/a	4	4	2	2

Relationships

Advises (6)

→ E••••• V••••••• I• L•Private fundVenture Capital Fund, ERA
Mar 29, 2012 to presentfactForm ADV
→ E••••• V••••••• P•••••• E••••• V• L•Private fundP•••••• Equity Fund, ERA
Mar 30, 2015 to presentfactForm ADV
→ E••••• V••••••• I•• L•Private fundVenture Capital Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ E••••• V••••••• I• K•

Dated events

Occurred
May 18, 2023
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Apr 14, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-262M
Occurred
Mar 23, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$275M
Occurred
Mar 29, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39b81cf9-f221-6316-9f59-36421b29a007
First observed: Mar 21, 2019
Last observed: Apr 14, 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.