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E•••••••• A••••••• 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

E•••••••• A••••••• L••

CRD 174387

NEW YORK, NY

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Data as of Mar 20, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 2
Observed: Jun 15, 2016 to Mar 20, 2019
6 observations

Across DFX

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

Private Equityidentity

E•••••••• A••••••• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Venture Capitalidentity

E•••••••• A••••••• L••

Venture 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: $252M••• Locked
Discretionary RAUM: $252M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E•••••••• C•••••• P••••••• L•••	Other Private Fund	$242M	Mar 20, 2019	23	Mar 5, 2015	reported	n/a
E•••••••• I••••••••• V•••••• I• L•••	Private Equity Fund	$10.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• J••••• A••••	MEMBER, PARTNER, PRESIDENT	D	yes	01/2015	Jun 15, 2016	Mar 20, 2019
Z•••••• M••••••• S•••	PASSIVE OWNERSHIP	D	yes	01/2015	Jun 15, 2016	Mar 20, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 20, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$252M	$252M	0.0%	n/a	n/a	4	7	0	0

Relationships

Advises (2)

→ E•••••••• I••••••••• V•••••• I• L•••Private fundPrivate Equity Fund, ERA
Mar 18, 2016 to presentfactForm ADV
→ E•••••••• C•••••• P••••••• L•••Private fundOther Private Fund, IA
Mar 5, 2015 to presentfactForm ADV

Controls (2)

← C••••••••• J••••• A••••OwnerMEMBER, PARTNER, PRESIDENT, ownership code D, individual
Jun 15, 2016 to presentfactForm ADV
← Z•••••• M••••••• S•••

Dated events

Order

Occurred
14 May 2019
Ria registration change
••• Locked
Form ADV
Occurred
17 Oct 2016
Ria registration change
••• Locked
Form ADV
Occurred
15 Jun 2016
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 15, 2016
Last observed: Mar 20, 2019 91 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.