DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

L•• C•••••• A•••••••

L•••••••• S••••••••• L••, CRD 137611

MILL VALLEY, CA

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Search this name across graphsid dfx:ria:e9579ec0-0a97-3333-81f0-75b400e35167

Data as of Nov 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 0
On other graphs: 1
Observed: Mar 27, 2012 to Nov 28, 2016
25 observations

Across DFX

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

Private Equityidentity

L•••••••• S••••••••• 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: $147M••• Locked
Discretionary RAUM: $96.7M
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
L•• C•••••• P••••••••• V•• L••	Private Equity Fund	$4.0M	Nov 28, 2016	32	Jul 7, 2014	reported	021-220250
F•••••••• I• S••••• O• L•• C•••••• P••••••• I•• L••	Private Equity Fund	$2.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• G•••••• B•••••	MANAGING DIRECTOR, COO AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2014	Nov 7, 2013	Nov 28, 2016
C•••••••• A•••• G••••••••	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	Na	yes	09/2007	Mar 27, 2012	Nov 28, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• C•••••• P••••••• I• L•	n/a	n/a	n/a	Y	yes	n/a
L•• C•••••• P••••••• I•• L••	n/a	n/a	n/a	Y	yes	n/a
L•• C•••••• P••••••••• C••••••••• N•••• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 15, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$147M	$111M	32.5%	$135M	2.9%	6	7	n/a	n/a

Relationships

Advises (16)

→ E••••••••• A• S••••• O• L•• C•••••• P••••••• I•• L••Private fundPrivate Equity Fund, IA
Jan 6, 2014 to presentfactForm ADV
→ B••• S••••• O• L•• C•••••• P••••••• I•• L••Private fundPrivate Equity Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ F•••••••• S••••• O• L•• C•••••• P••••••• I•• L••Private fundPrivate Equity Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ F•••••••• V• S••••• O• L•• C•••••• P••••••• I• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9579ec0-0a97-3333-81f0-75b400e35167
First observed: Mar 27, 2012
Last observed: Nov 28, 2016 119 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.