DFX Intelligence

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

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

C••• A•••••••• L••

CRD 157647

LOS ANGELES, CA

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Data as of Mar 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 1
Observed: Nov 9, 2011 to Mar 13, 2012
2 observations

Across DFX

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

Private Creditidentity

C••• A•••••••• L••

Private credit manager · same 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: $228,318••• Locked
Discretionary RAUM: $228,318
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• M•••• L••••	Member	D	yes	05/2011	Nov 9, 2011	Mar 13, 2012
A••••••••• M•••• L••••	LIMITED PARTNER	C	yes	05/2010	Nov 9, 2011	Mar 13, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••• C•••••• G•••• L•	n/a	Asset manager	$50B	Y	no	n/a
T•••••• J• V•••••• L••	n/a	Former SEC adviser	$1.0M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 13, 2012	$228,318	$228,318	n/a	n/a	n/a	n/a	n/a

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	$228,318	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ C••••••• C•••••• G•••• L•Registered adviserother investment adviser, control
factForm ADV
→ T•••••• J• V•••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← C•••••• J••••••••OwnerMEMBER, ownership code D, individual
Nov 9, 2011 to presentfactForm ADV
← A••••••••• M•••• L••••OwnerMEMBER, ownership code D, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 9, 2011
Last observed: Mar 13, 2012 176 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.