DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

Y•••• P••••••• M••••••••• L•••••

CRD 159991

MINNEAPOLIS, MN

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Search this name across graphs

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 10
On other graphs: 2
Observed: Feb 13, 2012 to Mar 30, 2026
19 observations

Across DFX

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

Private Equityidentity

Y•••• P••••••• M••••••••• L•••••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

Y•••• P••••••• M••••••••• L•••••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Y•••• C•••••• P••••••• P••••••• V• Q•• L•••	Private Equity Fund	$359M	Mar 30, 2026	27	Mar 27, 2023	reported	021-46944302
Y•••• C•••••• P••••••• Q• V• L•••	Private Equity Fund	$283M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• A•••• D•••••	CHIEF COMPLIANCE OFFICER	Na	yes	12/2010	Feb 13, 2012	May 21, 2024
D••••• W••••••• L••	MANAGING PARTNER	C	yes	03/2008	Feb 13, 2012	May 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
Y•••• P••••••• I••• L•••••	n/a	n/a	n/a	N	yes	n/a
Y•••• P••••••• I•• L•••••	n/a	n/a	n/a	N	yes	n/a
Y•••• P••••••• V• L•••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WEST PALM BEACH	FL	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	$1.8B	$2.0B	-13.6%	$1.4B	9.1%	19	22	2	2

Relationships

Advises (19)

→ Y•••• C•••••• P••••••• P••••••• I••• L•••Private fundPrivate Equity Fund, IA
Mar 24, 2017 to presentfactForm ADV
→ Y•••• C•••••• P••••••• P••••••• V• Q•• L•••Private fundPrivate Equity Fund, IA
Mar 27, 2023 to presentfactForm ADV
→ Y•••• C•••••• P••••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ Y•••• C•••••• P••••••• 3•••••• P••••••• I••• L•••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
30 Mar 2026
Private fund no longer reported2 events
Private fund no longer reported: 2 on 30 Mar 2026
$7.3M to $33.9M
- ••• Locked$33.9M
- ••• Locked$7.3M
Occurred
30 Mar 2026
Private fund gav change
••• Locked
Form ADV
$139M
Occurred
28 Mar 2024
Control person left3 events
Y•••• P••••••• M••••••••• L•••••: control person left, 3 events, on 28 Mar 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
28 Mar 2024
Regulatory AUM changed
••• Locked
Form ADV
$493M
Occurred
25 Mar 2021
Regulatory AUM changed
••• Locked
Form ADV
$285M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 13, 2012
Last observed: Mar 30, 2026 5 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.

All 19 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Y•••• C•••••• P••••••• ••• P••••••• I•• L•••	Private Equity Fund	$63.9M	Mar 30, 2026	6	Mar 24, 2022	reported	021-429512
Y•••• C•••••• P••••••• I• N•• E•• A••••••••• L••	Private Equity Fund	$59.2M	Mar 30, 2026	12	Mar 28, 2024	reported	n/a
Y•••• C•••••• P••••••• 3•••••• P••••••• I••• L•••	Private Equity Fund	$48.6M	Mar 30, 2026	13	Mar 24, 2017	reported	021-27641701
Y•••• C•••••• P••••••• P••••••• I•• L•••	Private Equity Fund	$45.4M	Mar 30, 2026	16	Mar 31, 2014	reported	021-20785201
Y•••• C•••••• P••••••• 3•••••• I••• L•••	Private Equity Fund	$35.3M	Mar 30, 2026	9	Mar 24, 2017	reported	021-276417
Y•••• C•••••• P•••••••• L•••	Private Equity Fund	$33.9M	May 21, 2024	33	Feb 13, 2012	dropped	021-137297
Y•••• C•••••• P••••••• P••••••• I••• L•••	Private Equity Fund	$9.7M	Mar 30, 2026	12	Mar 24, 2017	reported	021-276417
Y•••• C•••••• P••••••• P•••••••• L•••	Private Equity Fund	$7.3M	May 21, 2024	7	Feb 13, 2012	dropped	021-13729701
Y•••• C•••••• P••••••• 3•••••• P••••••• I•• L•••	Private Equity Fund	$2.3M	Mar 30, 2026	2	Mar 30, 2015	reported	021-20785202

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$556M	$556M	12	8	n/a	5	$556M
2014	Mar 30, 2015	$578M	$578M	10	8	n/a	5	$578M
2013	Mar 31, 2014	$322M	$322M	8	7	n/a	4	$185M
2012	Apr 1, 2013	$216M	$216M	7	6	n/a	2	$216M