DFX Intelligence

C••• C•••••• U•: 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•••••• U•

C••• C••••••, LLC, CRD 333502

ZURICH

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Search this name across graphsid dfx:ria:c57d491d-2f8b-f67d-6c53-2997906d12ed

Data as of Nov 20, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Nov 8, 2024 to Nov 20, 2024
2 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: 17
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-131600
CRD: 333502

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• S•••••	CHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER	Na	yes	03/2024	Nov 8, 2024	Nov 20, 2024
C••• C•••••• A•	Manager	E	yes	03/2024	Nov 8, 2024	Nov 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••• C•••••• A•	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	no

Relationships

Controls (6)

← C••• C•••••• A•OwnerMANAGER, ownership code E, foreign entity
Nov 8, 2024 to presentfactForm ADV
← V••••••••• F••••••••• A•••••••••OwnerPRESIDENT, BOARD OF DIRECTORS, ownership code C, individual
Nov 8, 2024 to presentfactForm ADV
← B••••••••• S•••••OwnerCHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER, ownership code NA, individual
Nov 8, 2024 to presentfactForm ADV
← T•••••••• J••••• H••••• G••••••OwnerSHAREHOLDER, BOARD OF DIRECTORS, ownership code C, individual
Nov 8, 2024 to present

Dated events

Occurred
Nov 8, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c57d491d-2f8b-f67d-6c53-2997906d12ed
First observed: Nov 8, 2024
Last observed: Nov 20, 2024 22 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.