DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••••••••• G••••• L••

CRD 131221

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:831d664c-6263-c0c9-31ab-a3b0d170751a

Data as of Jun 6, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 1
Observed: Mar 29, 2012 to Jun 6, 2023
38 observations

Across DFX

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

Private Equityidentity

S••••••••• G••••• L••

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: $553M••• Locked
Discretionary RAUM: $459M
Private client RAUM: $502Mderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••••• A•••• A••••••••• L•	Private Equity Fund	$2.5M	Jun 6, 2023	10	Mar 29, 2012	reported	021-1481835

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••••• N•••••••• H••••	MANAGING MEMBER	E	yes	03/2005	Mar 29, 2012	Jun 6, 2023
S••••••••• N•••••••• H••••	Cco	Na	no	04/2021	May 28, 2021	Jun 6, 2023

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$553M	$716M	-22.7%	$562M	-0.5%	2	2	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••• C•••••• F••••••••	2	Jun 7, 2023	Jan 4, 2023	PASADENA, CA	Team lift out	RIA to RIA	100.0%

Relationships

Advises (1)

→ S••••••••• A•••• A••••••••• L•Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV

Controls (1)

← S••••••••• N•••••••• H••••OwnerMANAGING MEMBER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← S••••••••• N•••••••• H••••OwnerCCO, ownership code NA, individual
May 28, 2021 to presentfactForm ADV

Registered with (6)

Dated events

Occurred
Jun 7, 2023
Team lift-out
2 advisors left S••••••••• G••••• L•• (Pasadena, CA) for P•••• C•••••• F•••••••• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Jun 7, 2023
Advisor changed firm
Nicholas Henry S••••••••• left S••••••••• G••••• L•• for P•••• C•••••• F•••••••• (registered 2023-01-04)
Form ADVobserved 7 days ago
Occurred
Jun 7, 2023
Advisor changed firm
Nicholas Henry S••••••••• left S••••••••• G••••• L•• for P•••• C•••••• F•••••••• (registered 2023-01-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:831d664c-6263-c0c9-31ab-a3b0d170751a
First observed: Mar 29, 2012
Last observed: Jun 6, 2023 40 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.