DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

M••••••• • C•••••• L••

CRD 115060

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:77b0c0ec-a937-285f-eb43-f57cd52e93a3

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 10
On other graphs: 2
Observed: Dec 15, 2011 to Sep 16, 2026
37 observations

Across DFX

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

Private Equityidentity

M••••••• • C•••••• L••

Intermediary · shared crd

Venture Capitalidentity

M••••••• • C•••••• L••

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.25 institutional_share=0.4 related_bd=true related_bank=false bd_reps=9.0
Regulatory AUM: $7.6B••• Locked
Discretionary RAUM: $7.6B
Private client RAUM: $17.1Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $7.6Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• F• S•••• S•••••••••	n/a	CORAL GABLES , FL \| SAN FRANCISCO, CA	13	19	1	yes

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••••• I••••••••• F••• I• L•••	Other Private Fund	$991M	Dec 9, 2024	58	Mar 31, 2015	reported	021-208854
M••••••• I••••••••• F••• I• ••••••• L•	Other Private Fund	$109M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• T•••••• A••••••	PRESIDENT OF EQUITY DIVISION, PORTFOLIO MANAGER	Na	yes	11/2020	Nov 10, 2020	Dec 9, 2024
J••••• A•••••• S•	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	07/2012	Jul 27, 2012	Dec 9, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• • C•••••• C•••••• A••••••• L••	n/a	n/a	n/a	Y	yes	n/a
M••••••• I••••••••• F••• I• G•• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
THOUSAND OAKS	CA	United States	3	no
Burbank	CA	United States	2	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$7.6B	$7.4B	2.5%	$6.6B	4.8%	26	29	2	3

Relationships

Advises (6)

→ M••••••• V•••••• F••• V•• L••Private fundVenture Capital Fund, IA
Mar 30, 2021 to presentfactForm ADV
→ M••••••• I••••••••• F••• I• L•••Private fundOther Private Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ M••••••• O••••••••• F•••• L•Private fundOther Private Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ M••••••• I••••••••• F••• I• ••••••• L•

Dated events

Occurred
Nov 10, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 10, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 10, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 28, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77b0c0ec-a937-285f-eb43-f57cd52e93a3
First observed: Dec 15, 2011
Last observed: Sep 16, 2026 6 days 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.