DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C••••••• C••••••

C••••••• C•••••• LLC, CRD 291553

NEW YORK, NY

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Search this name across graphsid dfx:ria:8125ee45-3664-40b0-96a8-d6df257a3146

Data as of Dec 1, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Dec 21, 2017 to Dec 1, 2018
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 1,546
High net worth clients: 339

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• T•••• S••••••• I•••	Member	E	yes	10/2017	Dec 21, 2017	Dec 1, 2018
A•••••••• H•••••••• L••	Shareholder	D	yes	10/2017	Dec 21, 2017	Dec 1, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• A•••••••• L••	n/a	State registered	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ P••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← J•••••• D••••••• M••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 1, 2018 to presentfactForm ADV
← U•••••• A•••••• A••••••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Feb 28, 2018 to presentfactForm ADV
← R•••••••• N••••OwnerMEMBER, ownership code C, individual

Dated events

Occurred
Dec 21, 2017
First Form ADV filing
C••••••• C•••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8125ee45-3664-40b0-96a8-d6df257a3146
First observed: Dec 21, 2017
Last observed: Dec 1, 2018 95 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.