DFX Intelligence

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

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RIA / WealthRegistered adviserMixed wealth managerSEC registeredRAUM 1b 10b

S•••• C•••••• L••

CRD 159461

SAN FRANCISCO, CA

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Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 10
On other graphs: 2
Observed: Nov 23, 2011 to May 6, 2026
39 observations

Across DFX

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

Private Equityidentity

S•••• C•••••• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

S•••• C•••••• L••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.38 fund_share=0.15 institutional_share=0.47 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $508M
Private client RAUM: $433Mderived••• Locked
Private client share: 38%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• G••••• F•••• I••••• F•••• A• S••••• O• T•• S•••• I••••••••• M••••••••• P••••• A••••• P••••••• L••	Other Private Fund	$85.2M	May 20, 2021	30	Feb 15, 2013	dropped	021-191362
L•••• I••••• F•••• L•••	Private Equity Fund	$71.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• S•••••• P• •• O••••	Chairman	B	yes	08/2014	May 6, 2026	May 6, 2026
G••••••••• R•••••• J••	CHIEF EXECUTIVE OFFICER OFFICER	A	yes	08/2014	May 6, 2026	May 6, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•••• I••••• I••••••••• L•••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$1.1B	$1.0B	12.6%	$843M	10.5%	19	20	0	0

Relationships

Advises (12)

→ L•••• I••••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ S•••• G••••• P••••• E••••• F•••• A• S••••• O• T•• S•••• I••••••••• M••••••••• P••••• A••••• P••••••• L••Private fundOther Private Fund, IA
Feb 15, 2013 to presentfactForm ADV
→ S•••• G••••• S••••••••• R••• A••••• •••••• F•••• A• S••••• O• T•• S•••• I••••••••• M••••••••• P•••••• A••••• P••••••• P••Private fundPrivate Equity Fund, IA
Jun 27, 2014 to presentfactForm ADV
→

Dated events

Order

Occurred
6 May 2026
Private fund no longer reported2 events
Private fund no longer reported: 2 on 6 May 2026
$20.1M to $25.7M
- ••• Locked$25.7M
- ••• Locked$20.1M
Occurred
6 May 2026
Ria indirect owner change4 events
S•••• C•••••• L••: ria indirect owner change, 4 events, on 6 May 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
25 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
$217M
Occurred
31 Oct 2023
Control person joined
••• Locked
Form ADV
Occurred
31 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
$275M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 23, 2011
Last observed: May 6, 2026 4 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.

All 12 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• P•••••• M••••• T••••• G••••• M••••••••• M••••• F•••	Private Equity Fund	$17.3M	Apr 14, 2016	2	Mar 22, 2016	dropped	n/a
S•••• G••••• S••••••••• R••• A••••• •••••• F•••• A• S••••• O• T•• S•••• I••••••••• M••••••••• P•••••• A••••• P••••••• P••	Private Equity Fund	$13.4M	May 6, 2026	6	Jun 27, 2014	reported	021-215272

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• J•••• E•	SOLE MEMBER	E	no	11/2013	Nov 20, 2013	May 21, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 22, 2016	$386M	$346M	15	9	n/a	9	$378M
2014	Feb 2, 2015	$323M	$280M	16	9	n/a	5	$244M
2013	Mar 31, 2014	$315M	$275M	16	10	n/a	4	$159M
2012	Feb 15, 2013	$125M	$125M	10	5	n/a	4	$33.5M
2011	Mar 12, 2012	$122M	$122M	n/a	n/a	n/a	n/a	n/a