DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S•••• A••• C••••••• L••

CRD 156186

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:7381d89b-631d-ba08-c973-f91bc6edd26f

Data as of Mar 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 2
Observed: Feb 9, 2012 to Mar 28, 2025
15 observations

Across DFX

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

Private Equityidentity

S•••• A••• C••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S•••• A••• C••••••• L••

Capital provider to sponsors · 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: $253M••• Locked
Discretionary RAUM: $253M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• A••• C•••••• I••• L•••	Private Equity Fund	$151M	Mar 29, 2024	81	Mar 31, 2015	reported	021-231281
S•••• A••• C•••••• I•• L•••	Private Equity Fund	$62.5M	Mar 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• K••••• J•	CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Feb 9, 2012	Mar 29, 2024
L•••••• C••••••• B••••••	MANAGING MEMBER	D	yes	01/2005	Feb 9, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••• L•••• C••••••• L•••	n/a	Asset manager	$575M	N	yes	n/a
N••••••• Q•••• C•••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
N•••••• C•••••••• G•• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$253M	$221M	14.1%	$272M	-2.4%	7	8	0	0

Relationships

Affiliated with (2)

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

Advises (4)

→ S•••• A••• C•••••• I••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ S•••• A••• C•••••• I•• L•••

Dated events

Occurred
Jul 1, 2025
Left the SEC roster
S•••• A••• C••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $252.6M)
Form ADVobserved 7 days ago
$253M
Occurred
Mar 29, 2022
Regulatory AUM changed
S•••• A••• C••••••• L•• reported RAUM $272.2M, down 28% from $378.3M (2021-03-26 to 2022-03-29)
Form ADVobserved 7 days ago
$-106M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7381d89b-631d-ba08-c973-f91bc6edd26f
First observed: Feb 9, 2012
Last observed: Mar 28, 2025 18 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.