DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

G••••••••• • C••

CRD 2016

NEW YORK, NY

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Search this name across graphsid dfx:ria:f995f396-130b-503f-4616-0a7544717031

Data as of Nov 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 0
On other graphs: 1
Observed: Nov 10, 2011 to Nov 15, 2012
5 observations

Across DFX

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

Private Equityidentity

G••••••••• • C••

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: $1.1B••• Locked
Discretionary RAUM: $946M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 39
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••••••• F••• 2••• L••	Private Equity Fund	$35.4M	Nov 15, 2012	74	Nov 10, 2011	reported	021-77637
G••••••••• F••• L•	Private Equity Fund	$20.6M	Nov 15, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• J•••• M•••••	GENERAL PARTNER	Na	yes	07/1997	Nov 10, 2011	Nov 15, 2012
G••••••••• S•••• B••••	LIMITED PARTNER	A	yes	03/2001	Nov 10, 2011	Nov 15, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Nov 15, 2012

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	$1.1B	$1.0B	3.8%	n/a	n/a	39	n/a	n/a	n/a

Relationships

Advises (6)

→ C•••• F••• L•Private fundPrivate Equity Fund, IA
Nov 10, 2011 to presentfactForm ADV
→ G••••••••• F••• L•Private fundPrivate Equity Fund, IA
Nov 10, 2011 to presentfactForm ADV
→ J•••••• F••• L••Private fundPrivate Equity Fund, IA
Nov 10, 2011 to presentfactForm ADV
→ M••••••••• F••• 2••• L••Private fund

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f995f396-130b-503f-4616-0a7544717031
First observed: Nov 10, 2011
Last observed: Nov 15, 2012 168 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.