DFX Intelligence

C•••••• D••••••• A•: 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•••••• D••••••• A•

CRD 160881

ZUG

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Search this name across graphsid dfx:ria:c864aac0-2ea7-4b7c-ee13-79edb1421b73

Data as of Jul 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to Jul 31, 2015
16 observations

Across DFX

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

Private Equityidentity

C•••••• D••••••• A•

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: $871M••• Locked
Discretionary RAUM: $171M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 51
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• D••••••• C•••• E••••• A•• I••••••••• F••• L•	Private Equity Fund	$281M	Mar 28, 2014	1	Feb 14, 2012	dropped	n/a
C•••••• D••••••• G••••• S••••••••• I••	Private Equity Fund	$278M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• H•••	CHIEF COMPLIANCE OFFICER, US GENERAL COUNSEL, EXECUTIVE COMMITTEE MEMBER	Na	yes	02/2014	Feb 25, 2014	Jul 31, 2015
A•••••••• E•••	CHIEF FINANCIAL OFFICER, EXECUTIVE COMMITTEE MEMBER	Na	yes	01/2013	May 9, 2013	Jul 31, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• D•••••••• I•••	n/a	Asset manager	$2.7B	N	yes	n/a
C•••••• D••••••• B••••• D••••• 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 31, 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	$871M	$2.2B	-60.2%	n/a	n/a	51	59	n/a	n/a

Relationships

Affiliated with (2)

← C•••••• D•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••• D•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Advises (20)

→ A••••• L••Private fundPrivate Equity Fund, ERA
Feb 14, 2012 to presentfactForm ADV
→ P••• S••••• I• H••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c864aac0-2ea7-4b7c-ee13-79edb1421b73
First observed: Feb 14, 2012
Last observed: Jul 31, 2015 135 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.