DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

A••••• G••••• A•••••••

CRD 153680

HOUSTON, TX

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Search this name across graphsid dfx:ria:947b47e3-0bdc-7a13-89dd-9584685e8903

Data as of Jun 7, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Jun 5, 2012 to Jun 7, 2012
2 observations

Across DFX

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

Private Equityidentity

A••••• G••••• A•••••••

Private equity 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: $16.7M••• Locked
Discretionary RAUM: $16.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• A•••••• F•••• L•	Private Equity Fund	$16.7M	Jun 7, 2012	39	Jun 5, 2012	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• G••••• F••••	MANAGING MEMBER	E	yes	07/2010	Jun 5, 2012	Jun 7, 2012
E••••• C••••••••• H••••	President	E	yes	01/2010	Jun 5, 2012	Jun 7, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• P•••• C•••••• L••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jun 5, 2012	$16.7M	$16.7M	n/a	n/a	n/a	1	$16.7M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$16.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (1)

→ A••••• A•••••• F•••• L•Private fundPrivate Equity Fund, IA
Jun 5, 2012 to presentfactForm ADV

Controls (4)

← R••••••• J•••••• R•••••••OwnerCFO, CCO, ownership code NA, individual
Jun 5, 2012 to presentfactForm ADV
← E••••• C••••••••• H••••OwnerPRESIDENT, ownership code E, individual
Jun 5, 2012 to presentfactForm ADV
← K••••••••• N•••••••• •• M••••• N••••OwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:947b47e3-0bdc-7a13-89dd-9584685e8903
First observed: Jun 5, 2012
Last observed: Jun 7, 2012 174 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.