DFX Intelligence

P••••••• 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

P••••••• L•••••

CRD 112774

BETHESDA, MD

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Search this name across graphsid dfx:ria:3f8b0887-592a-619b-171c-a603bda561ec

Data as of Aug 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to Aug 1, 2014
12 observations

Across DFX

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

Private Equityidentity

P••••••• 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: $332M••• Locked
Discretionary RAUM: $332M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• P••••••• V••• L•••	Private Equity Fund	$143M	Aug 1, 2014	72	Feb 14, 2012	reported	021-89464
P•••••• M••••• O••••••••• F•••• L•••	Private Equity Fund	$107M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• T•••••• M••••	TRUSTEE - SEE MISCELLANEOUS	F	yes	05/2012	Jun 8, 2012	Aug 1, 2014
M••••••••• M••••• L••• I•••••••• C••••••	MEMBER - SEE MISCELLANEOUS	E	yes	05/2012	Jun 8, 2012	Aug 1, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• 2••• E•••••••• M••••••••• L•••••	n/a	n/a	n/a	Y	yes	n/a
P•••••• 2••• M••••••••• L•••••	n/a	n/a	n/a	Y	yes	n/a
P•••••• M••••••••• L•••••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 28, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$332M	$528M	-37.0%	n/a	n/a	10	17	n/a	n/a

Relationships

Advises (7)

→ P•••••• P••••••• V••• L•••Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ P•••••• 2••• E••••••••• L•••••Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ P•••••• 2•••• L•••••Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ P•••••• C••••••• L•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f8b0887-592a-619b-171c-a603bda561ec
First observed: Feb 14, 2012
Last observed: Aug 1, 2014 147 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.