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C••••• B••••• M••••••••• 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

C••••• B••••• M••••••••• C••••

CRD 285595

MENLO PARK, CA

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Search this name across graphsid dfx:ria:9c015e7b-bf52-4362-967d-1888955ed3cd

Data as of Jun 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 6
On other graphs: 1
Observed: Jan 26, 2017 to Jun 28, 2019
19 observations

Across DFX

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

Private Equityidentity

C••••• B••••• M••••••••• C••••

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: $693MItem 5.F on the latest filing (2019-06-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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
C••••• B••••• F••• I• L•	Private Equity Fund	$1.5B	Jun 28, 2019	2	Nov 2, 2016	reported	n/a

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
B••••••• H••••• R••••••	SHAREHOLDER; DIRECTOR; CO-PRESIDENT	C	yes	12/2016	Jan 26, 2017	Jun 28, 2019
G••••••• M••••••• A••••••	CHIEF ACCOUNTING OFFICER	Na	yes	11/2017	Nov 30, 2017

Offices

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

City	State	Country	Employees	Also broker-dealer
Beijing	n/a	China	1	no
HONG KONG	n/a	H••• Kong	1	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
2018

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
2018	$693M	$1.5B	-54.2%	n/a	n/a	12	19	2	2

Relationships

Advises (1)

→ C••••• B••••• F••• I• L•Private fundPrivate Equity Fund, IA
Nov 2, 2016 to presentfactForm ADV

Controls (5)

← K••• P••••• C•••OwnerSHAREHOLDER; DIRECTOR; CO-PRESIDENT, ownership code C, individual
May 22, 2017 to presentfactForm ADV
← B••••••• H••••• R••••••OwnerSHAREHOLDER; DIRECTOR; CO-PRESIDENT, ownership code C, individual
Jan 26, 2017 to presentfactForm ADV
← R••••• C•••• M•••••Owner

Dated events

Occurred
Mar 29, 2019
Regulatory AUM changed
C••••• B••••• M••••••••• C•••• reported RAUM $693.3M, down 54% from $1.5B (2019-02-04 to 2019-03-29)
Form ADVobserved 7 days ago
$-822M
Occurred
Mar 29, 2019
Control person joined
Marion Carl Rizzo (Chief Compliance Officer) appeared on Schedule A of C••••• B••••• M••••••••• C••••
Form ADVobserved 7 days ago
Occurred
Mar 29, 2019
Control person left
Ann Marie Swanson (Chief Compliance Officer) no longer on Schedule A of C••••• B••••• M••••••••• C•••• (listed 2019-02-04, absent 2019-03-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c015e7b-bf52-4362-967d-1888955ed3cd
First observed: Jan 26, 2017
Last observed: Jun 28, 2019 88 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.