DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

P••••••••• C•••••• G••••• I•••••••• M••••••••• L••

CRD 173288

LOS GATOS, CA

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Search this name across graphsid dfx:ria:7a359847-c12b-a213-d763-116ac2405a16

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 2
Observed: Jan 12, 2015 to Mar 31, 2026
23 observations

Across DFX

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

Private Equityidentity

P••••••••• C•••••• G••••• I•••••••• M••••••••• L••

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

Independent Sponsorsidentity

P••••••••• C•••••• G••••• I•••••••• M••••••••• L••

Capital provider to sponsors · 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $142M••• Locked
Discretionary RAUM: $142M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••••• L•	Private Equity Fund	$70.6M	Mar 31, 2026	59	Mar 31, 2026	reported	021-536288
P••••••••• C•••••• G••••• I•••••••• I••• L••• A•• A•••••••••	Private Equity Fund	$36.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••• B••••• R•••••	CCO/MANAGING MEMBER	E	yes	01/2007	Jan 12, 2015	Jun 29, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

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

G•••••

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$142M	$105M	34.5%	$108M	9.5%	2	2	0	0

Relationships

Advises (13)

→ P••••••••• C•••••• G••••• I•••••••• I••• L••• A•• A•••••••••Private fundPrivate Equity Fund, IA
Jan 12, 2015 to presentfactForm ADV
→ P••••••••• C•••••• G••••• I•••••••• I•• A•• C•••••••• L•••Private fundPrivate Equity Fund, IA
Jan 12, 2015 to presentfactForm ADV
→ P••••••••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ P••••••• S•••••• I••••••••• L•••

Dated events

Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$70.6M
Occurred
Mar 31, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$10.5M
Occurred
Jan 12, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a359847-c12b-a213-d763-116ac2405a16
First observed: Jan 12, 2015
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.