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P••• B•••• C•••••• C•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

P••• B•••• C•••••• C•••••••••

CRD 109870

FORT SMITH, AR

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Search this name across graphsid dfx:ria:87c32ff5-8729-90e7-824c-78c1a774a2d1

Data as of Jan 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 2
Observed: Jan 23, 2012 to Jan 28, 2014
3 observations

Across DFX

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

Private Equityidentity

P••• B•••• C•••••• C•••••••••

Private equity manager · shared crd

Venture Capitalidentity

P••• B•••• C•••••• C•••••••••

Venture 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: $317MItem 5.F on the latest filing (2014-01-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $57.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••• B•••• E••••• F•••••••• F•••	Private Equity Fund	$50.0M	Jan 28, 2014	3	Jan 23, 2012	reported	021-1545990

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••••• J•••• W•••••	CHIEF COMPLIANCE OFFICER	E	yes	07/2004	Jan 23, 2012	Jan 28, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••• P••• A••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
J••• W• T••••••••• P•••	n/a	n/a	n/a	N	yes	n/a
P••• B•••• E••••• F•••••••• F•••

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Tulsa	Ok	United States	n/a	no
Dallas	TX	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$317M	$999M	-68.2%	n/a	n/a	5	5	n/a	n/a

Relationships

Advises (1)

→ P••• B•••• E••••• F•••••••• F•••Private fundPrivate Equity Fund, IA
Jan 23, 2012 to presentfactForm ADV

Controls (1)

← T••••••••• J•••• W•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 23, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87c32ff5-8729-90e7-824c-78c1a774a2d1
First observed: Jan 23, 2012
Last observed: Jan 28, 2014 154 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.