DFX Intelligence

C••••• S••••• •••••••• 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 adviserformer SEC advisernot on rosterRAUM 100m 1b

C••••• S••••• •••••••• L••••••

CRD 111720

NEW YORK, NY

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:a9421d37-a29d-a925-a57b-502b638f5dbd

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 1
Observed: Nov 22, 2011 to Apr 1, 2013
6 observations

Across DFX

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

Private Equityidentity

C••••• S••••• •••••••• L••••••

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: $303M••• Locked
Discretionary RAUM: $303M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• S••••• P•••••• E••••• A••• P•••••••• L•••	Private Equity Fund	$122M	Mar 30, 2012	26	Mar 30, 2012	reported	021-124836

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S••••• A•	Shareholder	E	yes	03/1998	Nov 22, 2011	Apr 1, 2013
C••••• S••••• G•••• A•	Shareholder	E	yes	03/1998	Nov 22, 2011	Apr 1, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• S••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$60B	N	yes	n/a
C••••• S••••• A•••• M••••••••• L••••••	n/a	Asset manager	$11B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Hamilton	n/a	Bermuda	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 1, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$303M	$119M	154.5%	n/a	n/a	5	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ C••••• S••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ U•• A•••• M••••••••• C••••• I••••••••• G•••• ••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserother investment adviser, broker-dealer, trust company, pooled vehicle sponsor, common control
factForm ADV
← C••••• S••••• P•••••• ADVISORS

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9421d37-a29d-a925-a57b-502b638f5dbd
First observed: Nov 22, 2011
Last observed: Apr 1, 2013 164 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.