DFX Intelligence

P•••••••• M••••••••• 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

P•••••••• M••••••••• L••

CRD 132293

OGDEN, UT

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Search this name across graphsid dfx:ria:5065e2a4-af0e-a8bc-7af5-9a14a7df8450

Data as of Aug 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Aug 17, 2012
5 observations

Across DFX

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

Private Equityidentity

P•••••••• M••••••••• 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: $53.0M••• Locked
Discretionary RAUM: $53.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $53.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••••• D•• C••••	n/a	OGDEN, UT	14	41	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••••• P•••••• E••••• P•••••••• L•	Private Equity Fund	$8.9M	Aug 17, 2012	3	Mar 29, 2012	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• J••••••• D••	MANAGING MEMBER	D	yes	01/2003	Mar 29, 2012	Aug 17, 2012
L•••••••• M••••••• S••••	PARTNER / PORTFOLIO MANAGER	C	no	01/2008	Mar 29, 2012	Aug 17, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••••• M••••••••• L••	n/a	Former SEC adviser	$53.0M	Y	yes	Ut
P•••••••• M••••••••• L••	n/a	Former SEC adviser	$53.0M	Y	yes	Ut

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$53.0M	$53.0M	n/a	n/a	n/a	1	$8.9M

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$53.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ P•••••••• M••••••••• L••Registered adviserbank, custodian, control, common control
factForm ADV

Advises (1)

→ P•••••••• P•••••• E••••• P•••••••• L•Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV

Controls (1)

← C••••• J••••••• D••OwnerMANAGING MEMBER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV

Owns (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5065e2a4-af0e-a8bc-7af5-9a14a7df8450
First observed: Mar 29, 2012
Last observed: Aug 17, 2012 171 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.