DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

3• C•••••• M••••••••• L••

CRD 294003

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:74f0e62c-2672-d624-4330-30234486bda7

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 43
Dated events: 3
On other graphs: 3
Observed: Jun 24, 2020 to Mar 31, 2026
13 observations

Across DFX

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

Venture Capitalidentity

3• C•••••• M••••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

3• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

3• C•••••• M••••••••• L••

Private equity manager · shared crd

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=true bd_reps=0.0
Regulatory AUM: $932M••• Locked
Discretionary RAUM: $932M
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
3• C•••••• I•• L•	Venture Capital Fund	$299M	Mar 29, 2024	127	Mar 31, 2021	reported	021-369738
3• C•••••• I• L•	Venture Capital Fund	$257M	Mar 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
3• F••••••• M•• L••	Member	D	yes	10/2017	Jun 24, 2020	Mar 29, 2024
3•• 3••• L••	Member	D	yes	10/2017	Jun 24, 2020	Mar 29, 2024
B••• P••••• T•••• D•••• J••• 1•• 2•••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• E••••• A•••••••• L••	n/a	ASSET_M••••••	$48B	N	yes	n/a
3• C•••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
3• C•••••• I• G•• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	4	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$932M	$851M	9.6%	$942M	-0.4%	4	4	0	1

Relationships

Affiliated with (2)

← P••••••• E••••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ P••••••• E••••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (11)

→ 3• C•••••• R•• L••Private fundVenture Capital Fund, IA
Mar 29, 2019 to presentfactForm ADV
→

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
3• C•••••• M••••••••• L•• reported RAUM $1.1B, up 121% from $504.8M (2021-04-30 to 2022-03-31)
Form ADVobserved 7 days ago
$611M
Occurred
Mar 31, 2021
Regulatory AUM changed
3• C•••••• M••••••••• L•• reported RAUM $504.8M, up 79% from $281.6M (2020-08-17 to 2021-03-31)
Form ADVobserved 7 days ago
$223M
Occurred
Jun 24, 2020
First Form ADV filing
3• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74f0e62c-2672-d624-4330-30234486bda7
First observed: Jun 24, 2020
Last observed: Mar 31, 2026 5 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.

Controls (19)

← L•••••• D••••• T•••••OwnerM••••••, ownership code F, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← C•••• S••••• J•••••OwnerM••••••, ownership code F, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← K•••••••• J••••• T••••OwnerM••••••, ownership code NA, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← T•••••• A•••••• M••••••OwnerTRUSTEE, ownership code F, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← G••••• T•• T••OwnerTRUSTEE, ownership code F, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← S•••••• M•••• A••OwnerM••••••, ownership code F, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← G••••• H••••• C•OwnerTRUSTEE, ownership code F, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← O•••••• D••••••• A••OwnerTRUSTEE, ownership code F, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← N••••••• P•••••• E•••OwnerM••••••, ownership code NA, individual
Jun 24, 2020 to Mar 29, 2024factForm ADV
← 3• F••••••• M•• L••OwnerMEMBER, ownership code D, domestic entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← 3•• 3••• L••OwnerMEMBER, ownership code D, domestic entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← B••• P••••• T•••• D•••• J••• 1•• 2•••OwnerMEMBER, ownership code D, domestic entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← C••• • O••••• R•••••••• T•••• D•••• S•• 2•••OwnerMEMBER, ownership code D, domestic entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← G•••• T•••• D•••• J•••••• 2•• 1•••• A• A••••••OwnerMEMBER, ownership code E, domestic entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← P••••••• E••••• I•••••••• L•••OwnerMEMBER, ownership code C, foreign entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← P••••••• E••••• I••••••••• H••••••• I• •••••••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← P••••••• E••••• I••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← P••••••• E•••••• L••OwnerMEMBER, ownership code D, foreign entity
Jun 24, 2020 to Mar 29, 2024factForm ADV
← P••••••• I••••••• •••••••• L••OwnerLIMITED PARTNER, ownership code C, foreign entity
Jun 24, 2020 to Mar 29, 2024factForm ADV