DFX Intelligence

W••••••••• • C••• 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

W••••••••• • C••• L•••

CRD 160339

NEW YORK, NY

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Search this name across graphsid dfx:ria:46799593-f01a-67e4-d865-4a94e02f1f94

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 1
On other graphs: 2
Observed: Feb 14, 2012 to Mar 30, 2020
13 observations

Across DFX

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

Private Equityidentity

W••••••••• • C••• L•••

Private equity manager · key sfn adviser, shared crd

Venture Capitalidentity

W••••••••• • C••• L•••

Venture manager · 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: $458M••• Locked
Discretionary RAUM: $458M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U••• E••••• P••••••• I• •••• P••••••••• L•••	Private Equity Fund	$91.9M	Mar 29, 2019	2	Feb 14, 2012	reported	n/a
U••• E••••• P••••••• I• ••••••••• L•••	Private Equity Fund	$25.5M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• A•••• ••••	CO-MANAGING PARTNER	Na	yes	01/2001	Feb 14, 2012	Mar 30, 2020
C•••• L••	Member	C	yes	01/2014	Mar 30, 2015	Mar 30, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••••• C••••••• L•	n/a	Asset manager	$4.4B	N	yes	n/a
E•••••••• P••••••• I•• •••• L•	n/a	n/a	n/a	N	yes	n/a
E•••••••• P••••••• I•• ••••••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$458M	$579M	-20.9%	$761M	-15.6%	8	31	1	1

Relationships

Affiliated with (1)

→ E•••••••• C••••••• L•Registered adviserother investment adviser, common control
factForm ADV

Controls (11)

← F•••••••• R•••••• A•••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← M••••••• R•••••• S•OwnerCHIEF FINANCIAL OFFICER, SECRETARY, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← M••••••• G•••••• L••••OwnerCO-MANAGING PARTNER, ownership code NA, individual

Dated events

Occurred
Mar 30, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46799593-f01a-67e4-d865-4a94e02f1f94
First observed: Feb 14, 2012
Last observed: Mar 30, 2020 78 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.