DFX Intelligence

N• I••• L•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

N• I••• L•••••

CRD 144185

DANVILLE, CA

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Data as of Dec 8, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 3
Observed: Nov 28, 2011 to Dec 8, 2014
12 observations

Across DFX

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

Private Equityidentity

N• I••• L•••••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Venture Capitalidentity

N• I••• L•••••

Venture manager · key_crd, key_sfn_adviser, shared_crd

Allocatorsidentity

N• I••• L•••••

Manager with allocator commitments · 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.4B••• Locked
Discretionary RAUM: $2.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 36
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••• B••••• M••••••	Member	B	yes	06/2000	Nov 28, 2011	Dec 8, 2014
K•••••• H•••••••• H•••••	Member	B	yes	10/2004	Nov 28, 2011	Dec 8, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••••• C••••••• L•••	n/a	Asset manager	$2.9B	Y	yes	n/a
N•••••••• C••••••• L••	n/a	Former SEC adviser	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HONG KONG	n/a	Hong Kong	n/a	no
London	n/a	United Kingdom	n/a	no
Melbourne	n/a	Australia	n/a	no
MEXICO CITY	n/a	Mexico	n/a	no
NEW DELHI

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 31, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$2.4B	$2.5B	-6.6%	n/a	n/a	36	30	n/a	n/a

Relationships

Affiliated with (4)

← N•••••••• C••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ N•••••••• C••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ N•••••••• C••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
← N•••••••• C••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 28, 2011
Last observed: Dec 8, 2014 143 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.