DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S••••• P•••• A•••••••• I•••

CRD 171342

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Search this name across graphsid dfx:ria:794bcb10-f60e-7354-fa28-d3f77e6e2a00

Data as of Jun 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 1
Observed: May 6, 2014 to Jun 19, 2020
11 observations

Across DFX

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

Private Equityidentity

S••••• P•••• A•••••••• I•••

Private equity manager · 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: $21.1M••• Locked
Discretionary RAUM: $21.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• S•• S•••••••• A••••••••• F•••• L•••	Private Equity Fund	$21.1M	Jun 19, 2020	2	Apr 16, 2020	reported	021-362546

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••••• C••••••••• D••••••	President	D	yes	04/2014	May 6, 2014	Jun 19, 2020
B•••••••• C••••••••• Y•	Shareholder	A	no	10/2014	Mar 24, 2015	Jun 19, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 19, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$21.1M	$19.4M	8.8%	$23.3M	-3.3%	1	1	0	0

Relationships

Advises (1)

→ S••••• S•• S•••••••• A••••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Apr 16, 2020 to presentfactForm ADV

Controls (1)

← R•••••••• C••••••••• D••••••OwnerPRESIDENT, ownership code D, individual
May 6, 2014 to presentfactForm ADV

Owns (7)

← B•••••••• M••••• A•OwnerSHAREHOLDER, ownership code A, individual
Mar 24, 2015 to presentfactForm ADV
←

Dated events

Occurred
May 6, 2014
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:794bcb10-f60e-7354-fa28-d3f77e6e2a00
First observed: May 6, 2014
Last observed: Jun 19, 2020 76 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.