DFX Intelligence

E••••• G••••• 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

E••••• G••••• M••••••• ••• L••

CRD 172953

HOUSTON, TX

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Search this name across graphsid dfx:ria:63931383-da1c-33c3-1f58-a71f5f4d9837

Data as of May 9, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 1
Observed: Sep 29, 2014 to May 9, 2016
5 observations

Across DFX

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

Private Equityidentity

E••••• G••••• 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: $44.2M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F•••• R•••••• M••••••• L•••	Private Equity Fund	$33.7M	May 9, 2016	3	Mar 25, 2015	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• G••••• M••••••• L••	Member	E	yes	09/2014	Dec 23, 2015	May 9, 2016
H••• F•••••••••	Shareholder	E	yes	02/2012	Sep 29, 2014	May 9, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••• G••••• M••••••• L••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016

G•••••

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$44.2M	$201M	-78.0%	n/a	n/a	10	6	n/a	n/a

Relationships

Advises (1)

→ F•••• R•••••• M••••••• L•••Private fundPrivate Equity Fund, IA
Mar 25, 2015 to presentfactForm ADV

Controls (8)

← P•••••• A••••• K••••OwnerMEMBER, ownership code C, individual
Sep 29, 2014 to presentfactForm ADV
← W••••••• L••••• M••••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Sep 29, 2014 to presentfactForm ADV
← E••••• G••••• M••••••• L••OwnerMEMBER, ownership code E, foreign entity

Dated events

Occurred
Sep 29, 2014
Ria f•••• adv filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63931383-da1c-33c3-1f58-a71f5f4d9837
First observed: Sep 29, 2014
Last observed: May 9, 2016 126 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.