DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

S•••••••• C•••••• A•••••••• L••

CRD 160613

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Search this name across graphsid dfx:ria:e40a2786-b223-599f-c146-05a80422a828

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 1
Observed: Feb 21, 2012 to Mar 31, 2026
21 observations

Across DFX

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

Private Equityidentity

S•••••••• C•••••• A•••••••• L••

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: $22.0M••• Locked
Discretionary RAUM: $22.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• C•••••• F••• I•• L•	Private Equity Fund	$37.2M	Mar 29, 2024	2	Feb 21, 2012	reported	021-159143

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• P••••••• J•	SOLE OWNER	E	yes	02/2011	Feb 21, 2012	Mar 29, 2024
C••••• P••••••• J•	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	Na	yes	02/2011	Feb 21, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• 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

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	$22.0M	$36.1M	-39.1%	$43.1M	-20.1%	2	2	0	0

Relationships

Advises (1)

→ S•••••••• C•••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Feb 21, 2012 to presentfactForm ADV

Controls (2)

← C••••• P••••••• J•OwnerSOLE OWNER, ownership code E, individual
Feb 21, 2012 to Mar 29, 2024factForm ADV
← S•••••••• C•••••• M••••••••• L••OwnerSOLE OWNER, ownership code E, domestic entity
Feb 21, 2012 to Mar 29, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Jul 1, 2026
S•••••••• C•••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $22.0M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e40a2786-b223-599f-c146-05a80422a828
First observed: Feb 21, 2012
Last observed: Mar 31, 2026 5 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.