DFX Intelligence

F••••••••• 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

F••••••••• C••••••• L••

CRD 157386

NEW YORK, NY

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Search this name across graphsid dfx:ria:4f65322a-2358-6817-dcfe-97a9e1a9ce83

Data as of Oct 2, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 1
Observed: Feb 13, 2012 to Oct 2, 2013
3 observations

Across DFX

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

Private Equityidentity

F••••••••• C••••••• 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: $221M••• Locked
Discretionary RAUM: $221M
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
F••••••••• C•••••• P••••••• I•• L•••	Private Equity Fund	$86.9M	Jan 20, 2023	44	Feb 13, 2012	reported	021-85488
C••••• H••••••• A•••••• L••	Private Equity Fund	$32.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• D••••• S••••	CHIEF EXECUTIVE OFFICER	E	yes	02/1998	Feb 13, 2012	Oct 2, 2013
B••••••• G•••• M•	CFO & CCO	Na	no	07/2004	Feb 13, 2012	Oct 2, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••••• C•••••• P••••••• I• G• ••••••••• L•••	n/a	n/a	n/a	N	yes	n/a
F••••••••• C•••••• P••••••• I• G•• L••	n/a	n/a	n/a	N	yes	n/a
F••••••••• C•••••• R••••••••• F••• G• ••••••••• L•••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013	$221M	$221M	7	4	n/a	13	$221M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$221M	n/a	n/a	n/a	n/a	7	n/a	n/a	n/a

Relationships

Advises (16)

→ F••••••••• C•••••• P••••••• I•• L•••Private fundPrivate Equity Fund, ERA
Feb 13, 2012 to presentfactForm ADV
→ C••••• H••••••• A•••••• L••Private fundPrivate Equity Fund, ERA
Mar 30, 2017 to presentfactForm ADV
→ F••••••••• M••••••••• I••••••••• L••Private fundPrivate Equity Fund, ERA
Mar 30, 2017 to presentfactForm ADV
→ F••••••••• O•••••• H•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f65322a-2358-6817-dcfe-97a9e1a9ce83
First observed: Feb 13, 2012
Last observed: Oct 2, 2013 157 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.