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

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

C••••• A••••••• V••••••• L•••

CRD 287866

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Search this name across graphsid dfx:ria:ad0e9deb-af14-bd00-6ada-ee055617642d

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 3
On other graphs: 0
Observed: Apr 13, 2017 to Mar 29, 2019
11 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
Regulatory AUM: $692MItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $692M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
S••••••• P••••• L••••	PRINCIPAL & CCO	E	yes	01/2017	Apr 13, 2017	Mar 29, 2019

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
2018

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
2018	$692M	$282M	145.1%	n/a	n/a	1	1	0	0

Relationships

Controls (1)

← S••••••• P••••• L••••OwnerPRINCIPAL & CCO, ownership code E, individual
Apr 13, 2017 to presentfactForm ADV

Dated events

Occurred
Mar 29, 2019
Regulatory AUM changed
C••••• A••••••• V••••••• L••• reported RAUM $692.1M, up 145% from $282.3M (2018-03-22 to 2019-03-29)
Form ADVobserved 7 days ago
$410M
Occurred
Mar 29, 2019
Control person left
M Jocelyn Dalkin (Chief Compliance Officer) no longer on Schedule A of C••••• A••••••• V••••••• L••• (listed 2018-03-22, absent 2019-03-29)
Form ADVobserved 7 days ago
Occurred
Apr 13, 2017
First Form ADV filing
C••••• A••••••• V••••••• L••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad0e9deb-af14-bd00-6ada-ee055617642d
First observed: Apr 13, 2017
Last observed: Mar 29, 2019 91 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.