DFX Intelligence

W•••••••• C•••••• M••••••••• 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

W•••••••• C•••••• M••••••••• L••

CRD 106676

SANTA CRUZ, CA

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Search this name across graphsid dfx:ria:e4a78f90-f882-a435-3953-53d76da3440c

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Mar 28, 2013
4 observations

Across DFX

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

Private Equityidentity

W•••••••• C•••••• M••••••••• 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: $120M••• Locked
Discretionary RAUM: $120M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•••••••• A••••••••• H•••••••• S• L•	Private Equity Fund	$3.1M	Feb 27, 2014	20	Feb 27, 2014	reported	021-95917
W•••••••• P•••••••• L•	Hedge Fund	$2.8M	Apr 1, 2022

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••• M•••• F•••••••••	MEMBER/CHIEF COMPLIANCE OFFICER	A	yes	02/1997	Mar 29, 2012	Mar 28, 2013
H•••••• D•••••• R•••	COO/MEMBER	A	yes	01/2003	Mar 29, 2012	Mar 28, 2013

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$120M	$139M	-13.7%	n/a	n/a	4	n/a	n/a	n/a

Relationships

Advises (12)

→ M••••• F•••Private fundHedge Fund, ERA
Feb 27, 2014 to presentfactForm ADV
→ W•••••••• P•••••••• L•Private fundHedge Fund, ERA
Feb 27, 2014 to presentfactForm ADV
→ S• F••••• L••Private fundHedge Fund, ERA
Feb 27, 2014 to presentfactForm ADV
→ W•••••••• A••••••••• H•••••••• L•Private fund

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4a78f90-f882-a435-3953-53d76da3440c
First observed: Mar 29, 2012
Last observed: Mar 28, 2013 164 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.