DFX Intelligence

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

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

C•••••••• W•••••

C•••••••• W•••••, LLC, CRD 310912

HUNT VALLEY, MD

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Search this name across graphsid dfx:ria:4ab65310-6b28-28b6-629e-8463a6e13363

Data as of May 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 86
Dated events: 39
On other graphs: 2
Observed: Nov 13, 2020 to May 3, 2024
42 observations

Across DFX

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

Private Equityidentity

C•••••••• W•••••

Private equity manager · shared crd

Allocatorsidentity

C•••••••• W•••••

Investment consultant · 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: $8.7B••• Locked
Discretionary RAUM: $8.5B
Private client RAUM: $7.3Bderived••• Locked
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 97

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• F•••••••• C••••••••• L•••	Partner	C	yes	08/2023	Sep 27, 2023	May 3, 2024
C••• F•••••••• H•••••••• L•••	Partner	D	yes	08/2023	Sep 27, 2023	May 3, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• C•••••• M••••••••• L••	n/a	Independent wealth	$49B	N	yes	n/a
T•••••• C••••••• L••	n/a	Former SEC adviser	$3.0B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Greenwich	Ct	United States	24	no
Chicago	IL	United States	16	no
NORTH ANDOVER	Ma	United States	8	no
CORAL GABLES	FL	United States	3	no
Naples	FL	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 26, 2024

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	$8.7B	$6.8B	28.1%	$909M	112.1%	97	71	7	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• P••••••• W•••••• L••	3	Jul 25, 2024	Jun 15, 2024	CORAL GABLES, FL	Team lift out	RIA to RIA	6.7%
F•••• P••••••• W•••••• L••	4	Jul 25, 2024	Jun 4, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••• P•••••• W••••• M••••••••• L••	2	Oct 5, 2023	Oct 10, 2023	ALBANY, NY	Channel change	RIA to RIA	16.7%
N•••• W••••• M••••••••• L••	3	Aug 31, 2023	Aug 28, 2023

Relationships

showing 80 of 86

Affiliated with (10)

← S•• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••••••• P•••••• A•••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
→ S•• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ A•••• P•••••• W••••• M••••••••• L••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 25, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jul 25, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
5 advisors
Occurred
Jul 25, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
3 advisors
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ab65310-6b28-28b6-629e-8463a6e13363
First observed: Nov 13, 2020
Last observed: May 3, 2024 29 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.