DFX Intelligence

C••••••••• G••••• I•••: 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••••••••• G••••• I•••

CRD 161128

SUMMIT, NJ

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Search this name across graphsid dfx:ria:842d88ea-a284-3a78-8c14-2f9197701778

Data as of Sep 2, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 1
Observed: Feb 6, 2012 to Sep 2, 2015
7 observations

Across DFX

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

Private Equityidentity

C••••••••• G••••• I•••

Private equity 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: $156M••• Locked
Discretionary RAUM: $156M
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
C••••••••• E••••• P••••••• I•• L•••	Private Equity Fund	$156M	Sep 2, 2015	26	Feb 6, 2012	reported	021-55513
C••••••••• E••••• P••••••• I••• L•••	Private Equity Fund	$17.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• G••••• L••	Shareholder	E	yes	07/2003	Feb 6, 2012	Sep 2, 2015
C••••••••• M••••••••• L••	Member	E	yes	07/2003	Feb 6, 2012	Sep 2, 2015

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 19, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$156M	$208M	-25.1%	n/a	n/a	4	8	n/a	n/a

Relationships

Advises (2)

→ C••••••••• E••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Feb 6, 2012 to presentfactForm ADV
→ C••••••••• E••••• P••••••• I••• L•••Private fundPrivate Equity Fund, IA, no longer reported
Feb 6, 2012 to Oct 21, 2013factForm ADV

Controls (5)

← H••••••• M•••••• M•••OwnerMEMBER, ownership code C, individual
Feb 6, 2012 to presentfactForm ADV
← D•••••• T•••••• C••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:842d88ea-a284-3a78-8c14-2f9197701778
First observed: Feb 6, 2012
Last observed: Sep 2, 2015 134 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.