DFX Intelligence

T••••••• M••••••• 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

T••••••• M••••••• L•

CRD 154674

NEW YORK, NY

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Search this name across graphsid dfx:ria:7aba73a9-4904-5911-f619-316788cdebaa

Data as of Apr 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 3
Observed: Mar 30, 2012 to Apr 24, 2017
12 observations

Across DFX

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

Private Equityidentity

T••••••• M••••••• L•

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

Venture Capitalidentity

T••••••• M••••••• L•

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

Private Creditidentity

T••••••• M••••••• L•

Private credit 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: $198M••• Locked
Discretionary RAUM: $198M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••••• F••• I•• L••	Private Equity Fund	$34.6M	Aug 16, 2023	34	Mar 30, 2012	reported	n/a
T••••••• P••••••• F••• I•• L•••	Private Equity Fund	$14.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J••• R•••••	Member	D	yes	07/2008	Mar 30, 2012	Apr 24, 2017
B••••• J••• R•••••	LIMITED PARTNER	C	yes	09/2008	Mar 30, 2012	Apr 24, 2017

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$198M	$245M	-19.3%	$332M	-15.8%	8	12	n/a	n/a

Relationships

Advises (4)

→ T••••••• F••• I•• L••Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ T••••••• P••••••• F••• I•• L•••Private fundPrivate Equity Fund, ERA
Apr 1, 2013 to presentfactForm ADV
→ C•••••••• I••••••••• F•••• L••Private fundSecuritized Asset Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ T••••••• C••••• O••••••••• L••

Dated events

Occurred
May 24, 2018
Ria registration change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7aba73a9-4904-5911-f619-316788cdebaa
First observed: Mar 30, 2012
Last observed: Apr 24, 2017 114 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.