DFX Intelligence

C••••••••• M••••••••• G••••• 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••••••••• M••••••••• G••••• L••

CRD 226633

WEST ORANGE, NJ

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Search this name across graphsid dfx:ria:41e73ff2-3862-0414-6532-6bff606139f5

Data as of Nov 16, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 1
Observed: Jan 28, 2016 to Nov 16, 2017
2 observations

Across DFX

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

Private Equityidentity

C••••••••• M••••••••• G••••• 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: $28.4M••• Locked
Discretionary RAUM: $28.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••••• L••	Private Equity Fund	$28.4M	Nov 16, 2017	34	Jan 28, 2016	reported	021-214293
C••••••••• A••• S••	Private Equity Fund	$9.8M	Nov 16, 2017

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• V•• I•••	Member	E	yes	12/2014	Jan 28, 2016	Nov 16, 2017
D••••••• J•••••• M••••••	CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	06/2015	Jan 28, 2016	Nov 16, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• M••••••••• G•••• 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
2016	Nov 16, 2017	$28.4M	$28.4M	3	3	1	2	$38.2M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$28.4M	n/a	n/a	n/a	n/a	3	n/a	1	n/a

Relationships

Advises (2)

→ C••••••••• A••• S••Private fundPrivate Equity Fund, IA
Jan 28, 2016 to presentfactForm ADV
→ C••••••••• L••Private fundPrivate Equity Fund, IA
Jan 28, 2016 to presentfactForm ADV

Controls (5)

← D••••••• J•••••• M••••••OwnerCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 28, 2016 to presentfactForm ADV
← D••••••••• E•••••• A••••••

Dated events

Occurred
Jan 28, 2016
First Form ADV filing
C••••••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41e73ff2-3862-0414-6532-6bff606139f5
First observed: Jan 28, 2016
Last observed: Nov 16, 2017 107 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.