DFX Intelligence

C•• A•••• M••••••••• 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•••• M••••••••• L••••••

CRD 165161

CHICAGO, IL

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Search this name across graphsid dfx:ria:cf2763ab-d851-50f4-5481-9f26163f17c9

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 0
Observed: Mar 5, 2013 to Mar 27, 2013
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
Regulatory AUM: $817M••• Locked
Discretionary RAUM: $817M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•• I••• U• M••••• N•••••• F••• L••	Hedge Fund	$2.1M	Mar 27, 2013	1	Mar 5, 2013	reported	n/a
C•• I••• U• M••••• N•••••• F••• L••••••	Hedge Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S••••• A••••	Member	C	yes	10/2001	Mar 5, 2013	Mar 27, 2013
C••••• S••••• A••••	Member	C	yes	01/2012	Mar 5, 2013	Mar 27, 2013
C••••• S••••• A••••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• G••••• H••••••• L••	n/a	n/a	n/a	N	yes	n/a

Relationships

Advises (2)

→ C•• I••• U• M••••• N•••••• F••• L••••••Private fundHedge Fund, IA
Mar 5, 2013 to presentfactForm ADV
→ C•• I••• U• M••••• N•••••• F••• L••Private fundHedge Fund, IA
Mar 5, 2013 to presentfactForm ADV

Owns (2)

← I••• C•••••• M••••••••• L••OwnerOWNER, ownership code NA, domestic entity
Mar 5, 2013 to presentfactForm ADV
← C•• I••••••••• L••Owner

Dated events

Occurred
Mar 5, 2013
First Form ADV filing
C•• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cf2763ab-d851-50f4-5481-9f26163f17c9
First observed: Mar 5, 2013
Last observed: Mar 27, 2013 164 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.