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A••••••••• 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 100m 1b

A••••••••• C•••••• A•••••••• L••

CRD 168745

PURCHASE, NY

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Search this name across graphsid dfx:ria:d8e7ff51-78c9-3b00-8dfd-f20e3122b4ee

Data as of Apr 19, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 1
Observed: Sep 25, 2013 to Apr 19, 2021
17 observations

Across DFX

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

Venture Capitalidentity

A••••••••• C•••••• A•••••••• L••

Venture 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: $164MItem 5.F on the latest filing (2021-04-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••••• V•••••• P••••••• F•••• L•	Venture Capital Fund	$18.4M	Apr 19, 2021	48	Mar 7, 2019	reported	021-317592

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2020	Aug 6, 2020	Apr 19, 2021
D••••••••• J•••••• L•	Member	Na	yes	11/2016	Mar 25, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• M••••• S••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$164M	$156M	5.2%	$162M	0.5%	3	2	0	0

Relationships

Advises (1)

→ M•••••• V•••••• P••••••• F•••• L•Private fundVenture Capital Fund, IA
Mar 7, 2019 to presentfactForm ADV

Controls (6)

← D••••••• S••••••• V•OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Aug 6, 2020 to presentfactForm ADV
← L••••••• C••••••••• J•••OwnerMEMBER, ownership code C, individual
Mar 31, 2014 to presentfactForm ADV
← F••••••• A•••••• J•••OwnerMEMBER, ownership code C, individual

Dated events

Occurred
Aug 6, 2020
Control person joined
Joanne Costantini (Chief Compliance Officer) appeared on Schedule A of A••••••••• C•••••• A•••••••• L••
Form ADVobserved 6 days ago
Occurred
Aug 6, 2020
Control person joined
V Stephen Ditursi (Chief Investment Officer) appeared on Schedule A of A••••••••• C•••••• A•••••••• L••
Form ADVobserved 6 days ago
Occurred
Aug 6, 2020
Control person left
Harry Michael Novick (Chief Compliance Officer & Manager) no longer on Schedule A of A••••••••• C•••••• A•••••••• L•• (listed 2020-03-26, absent 2020-08-06)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8e7ff51-78c9-3b00-8dfd-f20e3122b4ee
First observed: Sep 25, 2013
Last observed: Apr 19, 2021 66 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.