DFX Intelligence

C•••••••• I••••••••• M••••••• ••••••••• S•••: 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•••••••• I••••••••• M••••••• ••••••••• S•••

CRD 284885

L•••••••••

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:a9b86772-a3b5-f02e-125e-50dd624e4ebf

Data as of Jan 4, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 6
On other graphs: 2
Observed: Oct 19, 2016 to Jan 4, 2023
11 observations

Across DFX

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

Private Creditidentity

C•••••••• I••••••••• M••••••• ••••••••• S•••

Private credit manager · shared crd

Real Estate Fundsidentity

C•••••••• I••••••••• M••••••• ••••••••• S•••

Real estate fund 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: $1.7B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• C••••• T•••••• A• L••••••	Hedge Fund	$51.6M	Mar 29, 2019	8	Mar 30, 2012	dropped	n/a
C•••••••• R••• E••••• T•••••• L••••••	Hedge Fund	$14.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C••••••	S•••••••••	D	yes	05/2011	Oct 19, 2016	Jan 4, 2023
C•••••••• I••••••••• M••••••• H•••••••	S•••••••••	E	yes	06/2011	Oct 19, 2016	Jan 4, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• C••••• P••••••• L••	n/a	Asset manager	$5.8B	N	yes	n/a
C•••••••• C••••• F••• U•••••••• S••••••••• S•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	27	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$1.7B	n/a	n/a	$8.0B	-40.6%	10	n/a	1	n/a

Relationships

Affiliated with (2)

← C•••••••• I••••••••• M•••••••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••••• I••••••••• M•••••••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (4)

→ C•••••••• C••••• F••• S••••• S••••••••• • C•••••••• E••••••• S••••••• P•••••• C••••• F•••Private fundHedge Fund, IA
Sep 18, 2018 to presentfactForm ADV
→

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
C•••••••• I••••••••• M••••••• ••••••••• S••• reported RAUM $1.7B, down 79% from $8.0B (2019-03-29 to 2022-03-31)
Form ADVobserved 7 days ago
$-6.3B
Occurred
Mar 31, 2022
Control person joined
(Nmn) Jacqueline Jordan (Chief Compliance Officer) appeared on Schedule A of C•••••••• I••••••••• M••••••• ••••••••• S•••
Form ADVobserved 7 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
C•••••••• I••••••••• M••••••• ••••••••• S••• reported RAUM $8.0B, down 25% from $10.7B (2018-09-20 to 2019-03-29)
Form ADVobserved 7 days ago
$-2.7B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9b86772-a3b5-f02e-125e-50dd624e4ebf
First observed: Oct 19, 2016
Last observed: Jan 4, 2023 45 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.