DFX Intelligence

L••••• P•••••••• 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 adviserasset managerSEC registeredRAUM 100m 1b

L••••• P•••••••• L••

CRD 159473

LOS ANGELES, CA

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:c9a6ae78-9303-4cfa-308d-30fac5af6886

Data as of Jan 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 9
On other graphs: 2
Observed: Feb 21, 2012 to Jan 29, 2026
21 observations

Across DFX

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

Private Equityidentity

L••••• P•••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

L••••• P•••••••• L••

Capital provider to sponsors · 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: $778M••• Locked
Discretionary RAUM: $778M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $389Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• J•••• R•••••••	n/a	LOS ANGELES, CA	0	32	n/a	no
G•••• D• S••••••	n/a	LOS ANGELES, CA	0	12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••• C•••••• I••• L•••	Private Equity Fund	$330M	Jan 29, 2026	296	Mar 20, 2017	reported	021-278747
L••••• H••••••• L•••	Private Equity Fund	$125M	Jan 29, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• R•••••• I•	MANAGING MEMBER	E	yes	05/2011	Feb 21, 2012	Feb 8, 2024
R•••••••• R••••••• J••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2011	Feb 21, 2012	Feb 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••• C•••••• G•• L•••	n/a	n/a	n/a	Y	yes	n/a
L••••• C•••••• I•• G•• L•••	n/a	n/a	n/a	Y	yes	n/a
L••••• H•••••• G•• L•••	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$778M	$729M	6.6%	$791M	-0.6%	4	4	0	0

Relationships

Registered with (2)

← G•••• D• S••••••Advisorregistration: current employment
Dec 19, 2025 to presentfactForm ADV
← R•••••• J•••• R•••••••Advisorregistration: current employment
Oct 20, 2025 to presentfactForm ADV

Advises (4)

→ L••••• C•••••• I••• L•••Private fundPrivate Equity Fund, IA
Mar 20, 2017 to presentfactForm ADV
→

Dated events

Occurred
Jan 29, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$406M
Occurred
Jan 29, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$153M
Occurred
Jan 29, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$5.4M
Occurred
Jan 29, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9a6ae78-9303-4cfa-308d-30fac5af6886
First observed: Feb 21, 2012
Last observed: Jan 29, 2026 7 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.