DFX Intelligence

F••••• F•••••• • C••••••• 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

F••••• F•••••• • C••••••• L••

CRD 157829

GREENWICH, CT

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Search this name across graphsid dfx:ria:d9f6b12d-275e-17a1-d878-dc931ae7c055

Data as of May 31, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 1
Observed: Feb 14, 2012 to May 31, 2019
12 observations

Across DFX

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

Private Equityidentity

F••••• F•••••• • C••••••• L••

Private equity manager · key crd, 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: $443M••• Locked
Discretionary RAUM: $443M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F•• P••••••• I••• L•••	Private Equity Fund	$248M	Mar 28, 2013	29	Feb 14, 2012	dropped	n/a
F•• A•••••• I••••••••• L••	Private Equity Fund	$43.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• C•••••• A••••••	MANAGING MEMBER	D	yes	06/1995	Feb 14, 2012	May 31, 2019
F••••••• D••••• A•••	MANAGING MEMBER	C	yes	06/1995	Feb 14, 2012	May 31, 2019

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$443M	$322M	37.5%	$502M	-4.1%	6	6	0	0

Relationships

Affiliated with (1)

← P•••••• E••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Advises (8)

→ F•• A•••••• I••••••••• L••Private fundPrivate Equity Fund, ERA
Mar 28, 2013 to presentfactForm ADV
→ F•• P••••••• I••••• L•••Private fundPrivate Equity Fund, ERA
Mar 28, 2014 to presentfactForm ADV
→

Dated events

Occurred
Jul 3, 2019
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Mar 28, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$125M
Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-210M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9f6b12d-275e-17a1-d878-dc931ae7c055
First observed: Feb 14, 2012
Last observed: May 31, 2019 89 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.