DFX Intelligence

P•••••• A•••• M••••••••• C• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

P•••••• A•••• M••••••••• C• I••

CRD 105730

FREDERICK, MD

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Search this name across graphsid dfx:ria:6d1481c8-a951-4400-a4c2-771ebe2715a6

Data as of Sep 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 2
Observed: Mar 1, 2012 to Sep 29, 2017
11 observations

Across DFX

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

Private Equityidentity

P•••••• A•••• M••••••••• C• I••

Private equity manager · shared crd

Independent Sponsorsidentity

P•••••• A•••• M••••••••• C• I••

Capital provider to sponsors · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $114M••• Locked
Discretionary RAUM: $114M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• E••••• F••• L•	Private Equity Fund	$32.4M	Sep 29, 2017	5	Mar 1, 2012	reported	n/a
P•••••• E••••• F••• I•• L•••	Private Equity Fund	$7.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• G••••••• E••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	12/2001	Mar 1, 2012	Sep 29, 2017

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$114M	$237M	-51.9%	$198M	-16.7%	6	8	n/a	n/a

Relationships

Advises (2)

→ P•••••• E••••• F••• L•Private fundPrivate Equity Fund, IA
Mar 1, 2012 to presentfactForm ADV
→ P•••••• E••••• F••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 5, 2014 to presentfactForm ADV

Controls (1)

← B••••• G••••••• E••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 1, 2012 to presentfactForm ADV

Registered with (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d1481c8-a951-4400-a4c2-771ebe2715a6
First observed: Mar 1, 2012
Last observed: Sep 29, 2017 109 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.