DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C••••• P••••••• H•••••••• L••

CRD 117011

OWINGS MILLS, MD

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Search this name across graphsid dfx:ria:6d397745-d403-fc16-b217-0a92bc5e95b9

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 43
Dated events: 14
On other graphs: 4
Observed: Dec 21, 2011 to Mar 25, 2026
28 observations

Across DFX

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

Venture Capitalidentity

C••••• P••••••• H•••••••• L••

Venture manager · key cik, key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

C••••• P••••••• H•••••••• L••

Capital provider to sponsors · key cik, key crd, key sfn adviser, shared crd

Private Equityidentity

C••••• P••••••• H•••••••• L••

Private equity manager · key cik, key crd, key sfn adviser, shared crd

Allocators

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: $370M••• Locked
Discretionary RAUM: $370M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• P••••••• S•••••••• F••• V•• L•••	Private Equity Fund	$115M	Mar 25, 2026	59	Mar 31, 2019	reported	021-328441
C••••• P••••••• V• S••• L•	Private Equity Fund	$101M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• P••••••• M•••••• H••••••• L•	Owner	E	yes	11/2021	Dec 17, 2021	Nov 26, 2024
S••••••• J•••••• T•••	M•••••• OF GENERAL PARTNER & CHIEF COMPLIANCE O••••••	D	yes	11/2021	Mar 26, 2013	Nov 26, 2024

Affiliates (Item 7.A)

••• Locked

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

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	$370M	$369M	0.1%	$493M	-9.1%	4	5	0	0

Relationships

Advises (35)

→ C••••• P••••••• S•••••••• D••••••• A•• O•••••• F••• V•• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2019 to presentfactForm ADV
→ C••••• P•••••• C•••••• I••••• L••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ C••••• P••••••• V• S•••••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2019 to presentfactForm ADV
→ C••••• P••••••• S•••••••• F••• V•• L•••

Dated events

Occurred
Mar 25, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$1.3M
Occurred
Nov 26, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$125M
Occurred
Dec 17, 2021

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d397745-d403-fc16-b217-0a92bc5e95b9
First observed: Dec 21, 2011
Last observed: Mar 25, 2026 6 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.