DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserAsset managerSEC registeredRAUM under $100M

G•••••• C•••••• M••••••••• L••

CRD 337799

MILL VALLEY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 2
Observed: Jul 21, 2025 to Jul 9, 2026
3 observations

Across DFX

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

Private Equityidentity

G•••••• C•••••• M••••••••• L••

Private equity manager · same CRD, same SEC file number

Independent Sponsorsidentity

G•••••• C•••••• M••••••••• L••

Capital provider to sponsors · same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderived••• Locked
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: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• C•• F••••• F••• L•	Private Equity Fund	$12.0M	Jul 9, 2026	19	Jul 9, 2026	reported	021-555981
G•••••• C•••••• S••••••••• L• C•••• A•• •••••• G•••••• C•••••• S••••••••• T•••• R••••••	Hedge Fund	$10.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• E••••••• S•••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	12/2011	Jul 9, 2026	Jul 9, 2026
P••••••• M••••••• A••••	MANAGING MEMBER	C	yes	12/2011	Jul 9, 2026	Jul 9, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 17, 2026	$28.4M	$28.4M	7	5	1	3	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$28.4M	n/a	n/a	n/a	n/a	7	n/a	1	n/a

Relationships

Advises (3)

→ G•••••• C•• F••••• F••• L•Private fundPrivate Equity Fund, IA
Jul 9, 2026 to presentfactForm ADV
→ G•••••• C•••••• S••••••••• L• C•••• C•• •••••• G•••••• C•••••• S••••••••• I••••••Private fundHedge Fund, IA
Oct 19, 2015 to presentfactForm ADV
→ G•••••• C•••••• S••••••••• L• C•••• A•• •••••• G•••••• C•••••• S••••••••• T•••• R••••••Private fundHedge Fund, IA
Oct 19, 2015 to presentfactForm ADV

Controls (2)

Dated events

Order

Occurred
9 Jul 2026
Private fund first reported
••• Locked
Form ADV
$12.0M
Occurred
21 Jul 2025
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 21, 2025
Last observed: Jul 9, 2026 2 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.