DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 10b 100b

C•••••• G••••••• T•••• C••••••

CRD 108236

LOS ANGELES, CA

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Data as of Jan 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 66
Dated events: 0
On other graphs: 1
Observed: Dec 22, 2011 to Jan 28, 2019
16 observations

Across DFX

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

Private Creditidentity

C•••••• G••••••• T•••• C••••••

Private credit manager · key_crd, 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: $46B••• Locked
Discretionary RAUM: $46B
Private client RAUM: $627Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• G•••• A••••••• I••••• G••••• C••••• T•••• •••	Other Private Fund	$178M	Jan 28, 2019	2	Mar 30, 2012	reported	021-56074
C•••••• G••••••• I••••••••• A•• C•••••••• E••••• F••• F•• T••••••••• T•••••	Other Private Fund	$100M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• C•••••• M••••	Director	Na	yes	12/2017	Dec 21, 2017	Jan 28, 2019
B•••••••• M•••• E•••••	DIRECTOR & SR. VP	Na	yes	12/2017	Dec 21, 2017	Jan 28, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• R••••••• A•• M••••••••• C••••••	n/a	Asset manager	$3754B	Y	yes	n/a
C•••••• B••• A•• T•••• C••••••	n/a	Asset manager	$139B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

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	$46B	$44B	3.5%	$66B	-11.5%	8	10	1	n/a

Relationships

Affiliated with (8)

→ C•••••• G••••••• •••••••• I•••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•••••• I••••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ C•••••• R••••••• C••••••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••• R••••••• A•• M••••••••• C••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 22, 2011
Last observed: Jan 28, 2019 93 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.