DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

C••••••••• A•••••••• L•

CRD 161473

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7aadd5c0-2b03-9320-03b2-542a303f1c6a

Data as of Oct 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 1
Observed: Jun 27, 2013 to Oct 29, 2024
19 observations

Across DFX

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

Venture Capitalidentity

C••••••••• A•••••••• L•

Venture 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: $203M••• Locked
Discretionary RAUM: $203M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• 3• G• L••	GENERAL PARTNER OF THE ADVISOR	Na	yes	07/2011	Jul 2, 2013	Oct 29, 2024
D••••• N••••••• T•••••••••	Trustee	F	yes	04/1998	Jun 27, 2013	Oct 29, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no
LAKEWOOD RNACH	FL	United States	0	no

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	$203M	$189M	7.5%	$244M	-6.0%	4	3	2	2

Relationships

Controls (5)

← D••••• P••••OwnerMANAGER, PARTNER, ownership code E, individual
Jun 27, 2013 to presentfactForm ADV
← F••••••• R••••••• J••••OwnerFOUNDING PARTNER, ownership code C, individual
Jun 27, 2013 to presentfactForm ADV
← D••••• N••••••• T•••••••••OwnerTRUSTEE, ownership code F, individual
Jun 27, 2013 to presentfactForm ADV
← Z•••••• D••••••••• J•••OwnerTRUSTEE, ownership code C, individual
Mar 28, 2022 to presentfact

Dated events

Occurred
Mar 28, 2022
Control person left
Serge Eugene Troubetzkoy (Trustee) no longer on Schedule A of C••••••••• A•••••••• L• (listed 2021-03-30, absent 2022-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2022
Control person joined
J••• D•••••••• Z••••• (Trustee) appeared on Schedule A of C••••••••• A•••••••• L•
Form ADVobserved 7 days ago
Occurred
Jun 27, 2013
First Form ADV filing
C••••••••• A•••••••• L• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7aadd5c0-2b03-9320-03b2-542a303f1c6a
First observed: Jun 27, 2013
Last observed: Oct 29, 2024 23 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.