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C•• I•• 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 100m 1b

C•• I•• A••••••• L••

CRD 316704

NEW YORK, NY

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Search this name across graphsid dfx:ria:476af844-0358-4640-fb3e-63b5994ec350

Data as of Jul 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 9
On other graphs: 0
Observed: Sep 13, 2021 to Jul 3, 2024
9 observations

Across DFX

name candidates only

Private Creditcandidate

C•• I•• A••••••• L••

Credit provider · name unique adv

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: $488MItem 5.F on the latest filing (2024-07-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $488M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• G••••• C••••• I••••••••• M••••••••• L•••••	Member	E	yes	08/2021	Sep 13, 2021	Jul 3, 2024
C•••••• H••••••• I• G• I•••	Member	E	yes	11/2011	Sep 13, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• I••••••••• M••••••••• L•••••	n/a	Asset manager	$284B	Y	no	n/a
C•••••• G••••• C••••• I••••••••• M••••••••• L•••••	n/a	Asset manager	$68B	Y	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$488M	$215M	127.0%	n/a	n/a	305	297	1	1

Relationships

Affiliated with (4)

← C•••••• G••••• C••••• I••••••••• M••••••••• L•••••Registered adviserother investment adviser, bank, common control
factForm ADV
← T•• C•••••• G••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
→ T•• C•••••• G••••Registered adviserother investment adviser, bank, control
factForm ADV
→ C•••••• G••••• C••••• I••••••••• M••••••••• L•••••Registered adviser

Dated events

Occurred
May 2, 2025
Left the SEC roster
C•• I•• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $487.5M)
Form ADVobserved 7 days ago
$488M
Occurred
Jul 3, 2024
Control person joined
P. Lindsay Lobue (Chief Operating Officer - T•• C•••••• G••••) appeared on Schedule A of C•• I•• A••••••• L••
Form ADVobserved 7 days ago
Occurred
Jul 3, 2024
Control person left
Christopher Finn (Chief Operating Officer - T•• C•••••• G••••) no longer on Schedule A of C•• I•• A••••••• L•• (listed 2024-03-28, absent 2024-07-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:476af844-0358-4640-fb3e-63b5994ec350
First observed: Sep 13, 2021
Last observed: Jul 3, 2024 27 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.

Controls (18)

← T•• C•••••• G••••OwnerMEMBER, ownership code E, domestic entity
Sep 13, 2021 to presentfactForm ADV
← C•••••• G••••• C••••• I••••••••• M••••••••• L•••••OwnerMEMBER, ownership code E, domestic entity
Sep 13, 2021 to presentfactForm ADV
← S•••••••• H•••••• M•••••••OwnerMANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER - T•• C•••••• G••••, ownership code NA, individual
Mar 30, 2023 to presentfactForm ADV
← R••••••••• D••••• M•••OwnerCO-FOUNDER -T•• C•••••• G••••, ownership code NA, individual
Sep 13, 2021 to presentfactForm ADV
← D••••••••• D•••••• A••••••OwnerCO-FOUNDER - T•• C•••••• G••••, ownership code NA, individual
Sep 13, 2021 to presentfactForm ADV
← C•••••• W••••••• E••••OwnerCO-FOUNDER - T•• C•••••• G••••, ownership code NA, individual
Sep 13, 2021 to presentfactForm ADV
← R•••••• J•••• C•••••••••OwnerMANAGING DIRECTOR/CHIEF FINANCIAL OFFICER - T•• C•••••• G••••, ownership code NA, individual
Oct 4, 2023 to presentfactForm ADV
← L••••• L••••••• P•OwnerCHIEF OPERATING OFFICER - T•• C•••••• G••••, ownership code NA, individual
Jul 3, 2024 to presentfactForm ADV
← F•••••••• J••••••• W••••••OwnerMANAGING DIRECTOR/GENERAL COUNSEL - T•• C•••••• G••••, ownership code NA, individual
Sep 13, 2021 to presentfactForm ADV
← Z•••••• C••••••••• L••••••OwnerGLOBAL CHIEF COMPLIANCE OFFICER - T•• C•••••• G••••, ownership code NA, individual
Sep 13, 2021 to presentfactForm ADV
← M•••••••• H••••••• A••OwnerMANAGING DIRECTOR/CHIEF RISK OFFICER - T•• C•••••• G••••, ownership code NA, individual
Sep 13, 2021 to presentfactForm ADV
← C•••••• H••••••• I• G• I•••OwnerMEMBER, ownership code E, domestic entity
Sep 13, 2021 to presentfactForm ADV
← C•••••• H••••••• I• G• S•• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Sep 13, 2021 to presentfactForm ADV
← C•••••• H••••••• I• L•••OwnerMEMBER, ownership code D, domestic entity
Sep 13, 2021 to presentfactForm ADV
← C•••••• H••••••• I• G• L•••••OwnerMEMBER, ownership code E, domestic entity
Sep 13, 2021 to presentfactForm ADV
← C• S••••••••• H••••••• L•••••OwnerMEMBER, ownership code E, domestic entity
Sep 13, 2021 to presentfactForm ADV
← T• G••••• L•••••OwnerMEMBER, ownership code E, domestic entity
Sep 13, 2021 to presentfactForm ADV
← T•• C•••••• G•••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 13, 2021 to presentfactForm ADV