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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C••••••• F••••

C••••••• INVESTMENT ADVISORS, LLC, CRD 314411

BALTIMORE, MD

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Search this name across graphsid dfx:ria:d71086d9-8673-1cfb-d86a-411806736436

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 0
Observed: Jun 9, 2021 to Mar 27, 2026
13 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $369MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $369M
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
B••••• S••••••• E•••••	CHIEF OPERATING OFFICER/MEMBER	A	yes	05/2021	Jun 9, 2021	Mar 26, 2024
L••••••• D••••• N•••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2022	Feb 24, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••• I••••••••• A••••••• L••	n/a	Independent wealth	$140M	N	yes	n/a

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
2025

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
2025	$369M	$402M	-8.1%	$400M	-2.7%	4	4	0	0

Relationships

Affiliated with (2)

← J•••• FINANCIAL SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ J•••• FINANCIAL SERVICESRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← N•••••• B••••• C•••OwnerPRESIDENT/MEMBER, ownership code D, individual
Jun 9, 2021 to Mar 26, 2024factForm ADV
← L••••••• D••••• N•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 26, 2024
Control person left
Carl Matthew Nelson (Chief Legal Officer/General Counsel) no longer on Schedule A of C••••••• F•••• (listed 2023-03-15, absent 2024-03-26)
Form ADVobserved 7 days ago
Occurred
Mar 15, 2023
Regulatory AUM changed
C••••••• F•••• reported RAUM $400.0M, up 87% from $213.6M (2022-03-08 to 2023-03-15)
Form ADVobserved 7 days ago
$186M
Occurred
Feb 24, 2022
Control person left
Eric-Christopher Thayne Gould (Chief Compliance Officer) no longer on Schedule A of C••••••• F•••• (listed 2022-01-26, absent 2022-02-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d71086d9-8673-1cfb-d86a-411806736436
First observed: Jun 9, 2021
Last observed: Mar 27, 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.