DFX Intelligence

C•••••••• P••••••• I••••••••• M••••••••• 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 adviserasset managerSEC registeredRAUM 100m 1b

C•••••••• P••••••• I••••••••• M••••••••• L••

CRD 161204

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:84b5200f-171f-0108-8589-1094f9a73541

Data as of Feb 13, 2026 (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: 6
Dated events: 3
On other graphs: 1
Observed: Feb 22, 2012 to Feb 13, 2026
10 observations

Across DFX

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

Private Equityidentity

C•••••••• P••••••• I••••••••• M••••••••• L••

Private equity manager · key crd, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $169M••• Locked
Discretionary RAUM: $169M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• R•••• S••• L•	Private Equity Fund	$119M	Feb 13, 2026	43	Feb 15, 2023	reported	n/a
C•••••••• R•••• S•• 2• L•	Private Equity Fund	$41.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D••••• W••••	MANAGING MEMBER	E	yes	01/2011	Feb 22, 2012	Mar 26, 2017
A•••• J••••• M••••••	CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER	Na	no	01/2011	Feb 22, 2012	Mar 26, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$169M	n/a	n/a	n/a	n/a	5	n/a	2	n/a

Relationships

Advises (4)

→ C•••••••• R•••• S•• 2• L•Private fundPrivate Equity Fund, IA
Feb 13, 2026 to presentfactForm ADV
→ C•••••••• G•••••• P•••••••• L•Private fundPrivate Equity Fund, IA
Nov 16, 2017 to presentfactForm ADV
→ C•••••••• R•••• S••• L•Private fundPrivate Equity Fund, IA
Feb 15, 2023 to presentfactForm ADV
→ C•••••••• P••••••• I••••••••• F•••• L•

Dated events

Occurred
Feb 13, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$41.8M
Occurred
Jun 9, 2025
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Nov 16, 2017
Ria registration change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84b5200f-171f-0108-8589-1094f9a73541
First observed: Feb 22, 2012
Last observed: Feb 13, 2026 7 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.