DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

R••• A•••••••• L••

CRD 172839

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Search this name across graphsid dfx:ria:af742260-4939-c393-c33b-698483762f61

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 1
Observed: Aug 21, 2014 to Mar 5, 2026
30 observations

Across DFX

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

Private Equityidentity

R••• A•••••••• L••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $139M••• Locked
Discretionary RAUM: $139M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••• I••• L•	Private Equity Fund	$22.7M	May 14, 2024	2	Dec 3, 2015	reported	n/a
R••• P• F••• I• L•••	Private Equity Fund	$19,541

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D•• G•• L••	G•••••• P•••••• O• C••••••••• D•• F•••• L••	F	yes	11/2011	Sep 23, 2022	May 14, 2024
C••••••••• D•• H••••• L•••	O•••• O• C••••••••• D•• F•••• L•••	E	yes	11/2011	Sep 23, 2022	May 14, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$139M	$154M	-9.5%	$148M	-2.1%	1	1	1	0

Relationships

Advises (2)

→ A•••• I••• L•Private fundPrivate Equity Fund, IA
Dec 3, 2015 to presentfactForm ADV
→ R••• P• F••• I• L•••Private fundPrivate Equity Fund, IA
Dec 3, 2015 to presentfactForm ADV

Controls (5)

← P••••••• M•••OwnerMANAGING MEMBER AND SOLE OWNER OF C••••••••• D•• G•• L••, ownership code E, individual
Sep 6, 2022 to May 14, 2024factForm ADV
← C••••••••• D•• G•• L••

Dated events

Occurred
Sep 6, 2022
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 6, 2022
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 21, 2014
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af742260-4939-c393-c33b-698483762f61
First observed: Aug 21, 2014
Last observed: Mar 5, 2026 6 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.