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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••• I••••••••• L••

CRD 174969

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Search this name across graphsid dfx:ria:96da0a09-6a1d-7915-6b00-b2bacc5a8457

Data as of Feb 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Feb 16, 2015 to Feb 10, 2026
15 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: independent wealth managerderivedprivate_client_share=0.77 fund_share=0.09 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $262MItem 5.F on the latest filing (2026-02-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $262M
Private client RAUM: $202MderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• F••••• L•	Hedge Fund	$12.2M	Mar 13, 2024	13	Feb 16, 2015	reported	021-214804
C••••• P••• F•••• L•	Hedge Fund	$1.1M

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
W•••• H•••••	MEMBER, CO-CHIEF INVESTMENT OFFICER AND CHIEF EXECUTIVE OFFICER	D	yes	12/2023	Feb 16, 2015	Mar 13, 2024
W•• W••••••	MEMBER, CO-CHIEF INVESTMENT OFFICER AND CHIEF COMPLIANCE OFFICER	C	yes	12/2023	Feb 16, 2015

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

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
2025	$262M	$219M	19.7%	$167M	16.1%	2	2	0	0

Relationships

Advises (2)

→ C••••• P••• F•••• L•Private fundHedge Fund, IA
Mar 11, 2021 to presentfactForm ADV
→ C••••• F••••• L•Private fundHedge Fund, IA
Feb 16, 2015 to presentfactForm ADV

Controls (2)

← W•••• H•••••OwnerMEMBER, CO-CHIEF INVESTMENT OFFICER AND CHIEF EXECUTIVE OFFICER, ownership code D, individual
Feb 16, 2015 to Mar 13, 2024factForm ADV
← W•• W••••••

Dated events

Occurred
Mar 29, 2022
Regulatory AUM changed
C••••• I••••••••• L•• reported RAUM $209.6M, up 305% from $51.8M (2021-03-11 to 2022-03-29)
Form ADVobserved 6 days ago
$158M
Occurred
Feb 16, 2015
First Form ADV filing
C••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96da0a09-6a1d-7915-6b00-b2bacc5a8457
First observed: Feb 16, 2015
Last observed: Feb 10, 2026 7 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.