DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

C•••••••• A•••••••• L•••••

CRD 129627

SAN ANSELMO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 2
Observed: Apr 2, 2012 to Mar 30, 2023
14 observations

Across DFX

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

Private Equityidentity

C•••••••• A•••••••• L•••••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Real Estate Fundsidentity

C•••••••• A•••••••• L•••••

Real estate fund 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: $254M••• Locked
Discretionary RAUM: $254M
Private client RAUM: $237Mderived••• Locked
Private client share: 93%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
S•••• L•••	Other Private Fund	$0	Mar 31, 2014	2	Apr 2, 2012	dropped	n/a
Z•••••••• T•••• P•••	Liquidity Fund	$0	Jun 29, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• J••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2017	Mar 31, 2017	Mar 30, 2023
P•••••• C••••••••• J•••	PRESIDENT, MANAGER AND MEMBER	E	yes	11/2003	Apr 2, 2012	Mar 30, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••• D••••	n/a	n/a	n/a	Y	no	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
2022	$254M	$308M	-17.6%	$235M	2.6%	4	4	0	0

Relationships

Advises (22)

→ Z•••••••• F••••• F••••••••• L•••••Private fundOther Private Fund, IA
Apr 2, 2012 to presentfactForm ADV
→ Z•••••••• I••••• P•••••••Private fundOther Private Fund, IA
Apr 2, 2012 to presentfactForm ADV
→ Z•••••••• L••• T••• I••••••••• L•••••Private fundPrivate Equity Fund, IA
Apr 2, 2012 to presentfactForm ADV
→ Z•• M•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 2, 2012
Last observed: Mar 30, 2023 42 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.

All 22 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Z•••••••• C•••••• A••••••••• I•••	Other Private Fund	$0	Mar 29, 2019	3	Apr 2, 2012	dropped	n/a
N•• R•••••• I•••	Real Estate Fund	$0	Mar 29, 2019	3	Apr 2, 2012	dropped	n/a
Z•••••••• G••••• P•••••••	Other Private Fund	$0	Mar 30, 2023	20	Apr 2, 2012	reported	n/a
S• F••••• L•••• L•••••	Other Private Fund	$0	Mar 31, 2017	3	Apr 1, 2013	dropped	n/a
Z•••••••• C•••••• F•••• L•••	Other Private Fund	$0	Mar 30, 2023	2	Apr 2, 2012	reported	n/a
Z••••• L•••	Other Private Fund	$0	Jun 29, 2020	9	Apr 2, 2012	dropped	n/a
S•••• L•••••	Other Private Fund	$0	Mar 31, 2017	2	Apr 2, 2012	dropped	n/a
Z•••••••• F••••• F••••••••• L•••••	Other Private Fund	$0	Mar 30, 2023	2	Apr 2, 2012	reported	n/a
I•••• 5• L•••	Other Private Fund	$0	Mar 31, 2017	7	Apr 2, 2012	dropped	n/a
Z•••••••• I••••• P•••••••	Other Private Fund	$0	Mar 30, 2023	20	Apr 2, 2012	reported	n/a
Z•••••••• L••• T••• I••••••••• L•••••	Private Equity Fund	$0	Mar 30, 2023	14	Apr 2, 2012	reported	n/a
Z•• M•••••••• I•••	Real Estate Fund	$0	Mar 30, 2023	3	Apr 2, 2012	reported	n/a

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 1, 2013	$194M	$194M	4	3	n/a	20	$0
2011	Apr 2, 2012	$187M	$0	n/a	n/a	n/a	19	$0