DFX Intelligence

C•••••••• F••• M••••••••• C••••••• 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•••••••• F••• M••••••••• C••••••• L••

CRD 281052

IRVINE, CA

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Search this name across graphsid dfx:ria:7f0fd71f-6dd9-a5bf-f51d-ca16ec0a6d8c

Data as of Sep 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 2
Observed: Oct 19, 2015 to Sep 14, 2017
4 observations

Across DFX

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

Private Equityidentity

C•••••••• F••• M••••••••• C••••••• L••

Private equity manager · cited, shared crd

Allocatorsidentity

C•••••••• F••• M••••••••• C••••••• L••

Manager with allocator commitments · cited, 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: $332M••• Locked
Discretionary RAUM: $332M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• C•••••••• B••••••••• L•••	Private Equity Fund	$71.2M	Oct 18, 2018	18	Mar 28, 2013	reported	021-114338
C•••••••• C•••••••• B••••••••• L•••	Private Equity Fund	$9.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• E•••••• J•••	MANAGING MEMBER	E	yes	12/2007	Oct 19, 2015	Sep 14, 2017
F•••••••• J•••• D••••	MANAGING MEMBER	B	no	12/2007	Oct 19, 2015	Sep 14, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• F••• M•••••• G•• L••	n/a	Former SEC adviser	$409M	N	yes	n/a
S••••••• C•••••••• C••••••• I•••	n/a	n/a	n/a	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 24, 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	$332M	$286M	16.1%	n/a	n/a	9	10	n/a	n/a

Relationships

Advises (3)

→ C•••••••• C•••••••• B••••••••• L•••Private fundPrivate Equity Fund, ERA
Mar 28, 2013 to presentfactForm ADV
→ C•••••••• C•••••••• B•••••••• L•••Private fundPrivate Equity Fund, ERA
Mar 28, 2013 to presentfactForm ADV
→ C•••••••• C•••••••• B••••••••• L•••Private fundPrivate Equity Fund, IA
Mar 28, 2013 to presentfactForm ADV

Affiliated with (1)

Dated events

Occurred
Oct 19, 2015
First Form ADV filing
C•••••••• F••• M••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f0fd71f-6dd9-a5bf-f51d-ca16ec0a6d8c
First observed: Oct 19, 2015
Last observed: Sep 14, 2017 109 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.