DFX Intelligence

S••••••• V•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

S••••••• V•••••••

S••••••• M••••••••• CORPORATION, CRD 159683

PRINCETON, NJ

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Search this name across graphs

Data as of Mar 22, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 2
Observed: Jan 3, 2012 to Mar 22, 2012
2 observations

Across DFX

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

Private Equityidentity

S••••••• V•••••••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Venture Capitalidentity

S••••••• V•••••••

Venture manager · 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: $191M••• Locked
Discretionary RAUM: $191M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 3
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••• V•••••• C••••••• L•••	Venture Capital Fund	$8.7M	Mar 22, 2021	54	Jan 3, 2012	reported	n/a
A••••••• I• F•••• L•••	Private Equity Fund	$4.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••••• D••••• S•••••	CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER	Na	yes	06/1997	Jan 3, 2012	Mar 22, 2012
S••••• R•••• P•••••	MANAGING MEMBER	D	yes	06/2010	Jan 3, 2012	Mar 22, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Cupertino	CA	United States	n/a	no
NEW YORK	NY	United States	n/a	no

Relationships

Advises (3)

→ S••••••• V•••••• C••••••• L•••Private fundVenture Capital Fund, ERA
Jan 3, 2012 to presentfactForm ADV
→ I•••••••• F•••• L•••Private fundPrivate Equity Fund, ERA
Jan 3, 2012 to presentfactForm ADV
→ A••••••• I• F•••• L•••Private fundPrivate Equity Fund, ERA
Jan 3, 2012 to presentfactForm ADV

Controls (3)

Dated events

Order

Occurred
27 Feb 2013
Ria registration change
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 3, 2012
Last observed: Mar 22, 2012 176 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.