DFX Intelligence

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

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

C••••••• I••••••••• L•••••

CRD 156947

NEW YORK, NY

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Search this name across graphsid dfx:ria:765976c0-f184-b02f-407e-0eff837c3450

Data as of Feb 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 8
On other graphs: 3
Observed: Feb 14, 2012 to Feb 14, 2012
1 observations

Across DFX

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

Private Equityidentity

C••••••• I••••••••• L•••••

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

Venture Capitalidentity

C••••••• I••••••••• L•••••

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

Allocatorsidentity

C••••••• I••••••••• L•••••

Manager with allocator commitments · cited, 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: $356M••• Locked
Discretionary RAUM: $356M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 7
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••• I•••••••• V• L•••	Venture Capital Fund	$275M	Mar 31, 2026	66	Mar 31, 2021	reported	021-383126
C••••••• I•••••••• Q• I•• L•••	Venture Capital Fund	$238M	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• D••••• R•••	MEMBER AND CHIEF COMPLIANCE OFFICER AND EXECUTIVE VICE PRESIDENT	C	yes	04/2000	Feb 14, 2012	Feb 14, 2012
R•••• B••••• A•	MANAGING MEMBER AND PRESIDENT	C	yes	04/2000	Feb 14, 2012	Feb 14, 2012

Affiliates (Item 7.A)

••• Locked

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

Relationships

Advises (16)

→ C••••••• I•••••••• I•• L•••Private fundVenture Capital Fund, ERA
Mar 30, 2015 to presentfactForm ADV
→ C••••••• I•••••••• V• L•••Private fundVenture Capital Fund, ERA
Mar 31, 2021 to presentfactForm ADV
→ C••••••• I•••••••• C•• L•••Private fundVenture Capital Fund, ERA
Mar 31, 2026 to presentfactForm ADV
→ C••••••• I•••••••• Q• I•• A••• L•••

Dated events

Occurred
Mar 31, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$64.2M
Occurred
Mar 31, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$10.0M
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:765976c0-f184-b02f-407e-0eff837c3450
First observed: Feb 14, 2012
Last observed: Feb 14, 2012 177 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.