DFX Intelligence

O••••••• P••••••• I••••••••• 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

O••••••• P••••••• I••••••••• M••••••••• L••

CRD 283384

NEW YORK, NY

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Search this name across graphsid dfx:ria:f50e5190-fd57-459c-f296-ed309b9477e4

Data as of May 20, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 5
On other graphs: 3
Observed: Jun 28, 2019 to May 20, 2024
14 observations

Across DFX

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

Venture Capitalidentity

O••••••• P••••••• I••••••••• M••••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

O••••••• P••••••• I••••••••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

O••••••• P••••••• I••••••••• 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: $161M••• Locked
Discretionary RAUM: $161M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••••••• P••••••• I• A•• L•	Private Equity Fund	$45.4M	Aug 1, 2024	1	Mar 31, 2021	dropped	021-390816
O••••••• P••••••• I•• L•	Private Equity Fund	$41.4M	Aug 1, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• B•••••	SENIOR MANAGEMENT	Na	yes	08/2015	Jun 28, 2019	May 20, 2024
G••••• R••••	Member	E	yes	09/2015	Jun 28, 2019	May 20, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$161M	$228M	-29.3%	$301M	-18.9%	11	11	0	0

Relationships

Advises (12)

→ O••••••• P••••••• S••• L•Private fundPrivate Equity Fund, ERA
Mar 31, 2016 to presentfactForm ADV
→ O••••••• P••• L•Private fundPrivate Equity Fund, ERA
Jun 28, 2019 to presentfactForm ADV
→ O••••••• P••••••• I••• L•Private fundPrivate Equity Fund, ERA
Mar 31, 2023 to presentfactForm ADV
→ O••••••• P••••••• I• A•• L•

Dated events

Occurred
May 12, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$3.5M
Occurred
May 12, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$45.4M
Occurred
May 12, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$41.4M
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f50e5190-fd57-459c-f296-ed309b9477e4
First observed: Jun 28, 2019
Last observed: May 20, 2024 28 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.