DFX Intelligence

C••••••• C•• N• 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 adviserasset managerSEC registeredRAUM 1b 10b

C••••••• C•• N• A•••••••• L••

CRD 324139

LOS ANGELES, CA

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:ab394554-c419-5e91-988f-76f816456f16

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 6
On other graphs: 0
Observed: Nov 21, 2022 to Mar 30, 2026
4 observations

Across DFX

name candidates only

Private Creditcandidate

C••••••• C•• N• A•••••••• L••

Credit provider · name unique adv

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• M•••• L••••	Member	C	yes	05/2010	Nov 21, 2022	Mar 28, 2024
A••••••••• M•••• L••••	Member	C	yes	12/2011	Nov 21, 2022	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••••• F•••••••• S••••••• C••••••	n/a	Asset manager	$514B	N	yes	n/a
M•• I••••••••• A••••••• I•••	n/a	Other adviser	$114B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	1	yes
Boston	Ma	United States	1	yes
NEW YORK	NY	United States	1	yes
London	n/a	United Kingdom	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.1B	$348M	218.4%	n/a	n/a	0	0	5	4

Relationships

Affiliated with (15)

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

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
C••••••• C•• N• A•••••••• L•• reported RAUM $1.1B, up 218% from $348.0M (2025-03-31 to 2026-03-30)
Form ADVobserved 7 days ago
$760M
Occurred
Mar 31, 2025
Regulatory AUM changed
C••••••• C•• N• A•••••••• L•• reported RAUM $348.0M, up 134% from $148.7M (2024-03-28 to 2025-03-31)
Form ADVobserved 7 days ago
$199M
Occurred
Mar 28, 2024
Control person joined
Feliciano Raymond Barrios (President) appeared on Schedule A of C••••••• C•• N• A•••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab394554-c419-5e91-988f-76f816456f16
First observed: Nov 21, 2022
Last observed: Mar 30, 2026 5 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.

Controls (15)

← C•••••• J••••••••OwnerMEMBER, ownership code C, individual
Nov 21, 2022 to Mar 28, 2024factForm ADV
← A••••••••• M•••• L••••OwnerMEMBER, ownership code C, individual
Nov 21, 2022 to Mar 28, 2024factForm ADV
← C••••••• C•••••• G•••• L•OwnerMEMBER / MANAGING MEMBER, ownership code E, domestic entity
Nov 21, 2022 to Mar 28, 2024factForm ADV
← B••••••• R••••••• F••••••••OwnerPRESIDENT, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← H•••• E•••• R•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← B••••• K•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← B••••••• E•••• G•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 21, 2022 to Mar 28, 2024factForm ADV
← H•••••• G•••••• P••••OwnerG•••••• COUNSEL, ownership code NA, individual
Nov 21, 2022 to Mar 28, 2024factForm ADV
← C••••••• C•••••• G•••• G• L••OwnerG•••••• PARTNER, ownership code F, domestic entity
Nov 21, 2022 to Mar 28, 2024factForm ADV
← C••••••• C•••••• G•••• H••••••• L•OwnerL•••••• PARTNER, ownership code C, domestic entity
Nov 21, 2022 to Mar 28, 2024factForm ADV
← S•• L••• ••••• H••••• 2••• I•••OwnerMEMBER, ownership code D, domestic entity
Nov 21, 2022 to Mar 28, 2024factForm ADV
← S•• L••• 2••••• F•••••••• C••••OwnerOWNER, ownership code E, foreign entity
Nov 21, 2022 to Mar 28, 2024factForm ADV
← S•• L••• A•••••••• C•••••• O• C••••• • U••• O••••••••• H•••••••• I•••OwnerOWNER, ownership code E, domestic entity
Nov 21, 2022 to Mar 28, 2024factForm ADV
← S•• L••• F•••••••• I•••OwnerOWNER, ownership code E, foreign entity
Nov 21, 2022 to Mar 28, 2024factForm ADV
← S•• L••• G••••• I••••••••• I•••OwnerOWNER, ownership code E, foreign entity
Nov 21, 2022 to Mar 28, 2024factForm ADV