DFX Intelligence

D•••••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

D•••••• C•••••• M••••••••• L••

CRD 168041

WASHINGTON, DC

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Search this name across graphsid dfx:ria:b3512269-b589-7ea5-4578-c594343bb85a

Data as of Jul 22, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 1
Observed: Jun 21, 2013 to Jul 22, 2015
8 observations

Across DFX

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

Private Equityidentity

D•••••• C•••••• M••••••••• 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: $570M••• Locked
Discretionary RAUM: $570M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Y•••• P•••••• E••••• F••• I• L•	Private Equity Fund	$76.0M	Jul 22, 2015	2	Jun 21, 2013	reported	021-204833

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A•• R••••••• F•••• W••••• J•• R•••••••• T•••• D•••• A•••• 1•• 2•••	Owner	D	yes	06/2013	Jun 21, 2013	Jul 22, 2015
D••••• S•••••	MANAGING DIRECTOR AND OWNER	B	yes	06/2013	Jun 21, 2013	Jul 22, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••••• C•••••• P••••••• I• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 20, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$570M	$505M	12.9%	n/a	n/a	3	3	n/a	n/a

Relationships

Advises (1)

→ Y•••• P•••••• E••••• F••• I• L•Private fundPrivate Equity Fund, IA
Jun 21, 2013 to presentfactForm ADV

Controls (5)

← D••••• S•••••OwnerMANAGING DIRECTOR AND OWNER, ownership code B, individual
Jun 21, 2013 to presentfactForm ADV
← W••••• F••••OwnerTRUSTEE, ownership code E, individual
Jun 21, 2013 to presentfactForm ADV
← M•••••• P••••••••• S•••••OwnerOWNER, ownership code E, individual

Dated events

Occurred
Jun 21, 2013
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3512269-b589-7ea5-4578-c594343bb85a
First observed: Jun 21, 2013
Last observed: Jul 22, 2015 136 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.