DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 10b 100b

C•••••••• P•••••••• L•••

CRD 107444

CLEVELAND, OH

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Search this name across graphs

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 2
Observed: Mar 27, 2012 to Mar 29, 2018
15 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

C•••••••• P•••••••• L•••

Investment consultant · key_crd, shared_crd

Real Estate Fundsidentity

C•••••••• P•••••••• L•••

Real estate fund manager · key_crd, shared_crd

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: $69B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• E••• 2••• L•	Member	C	yes	09/2017	Sep 27, 2017	Mar 29, 2018
E•••• C•••••• G••••• L•••	Member	E	yes	12/2005	Mar 27, 2012	Mar 29, 2018

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$69B	$65B	5.9%	$46B	14.6%	26	30	2	n/a

Relationships

Controls (5)

← N•••••• S•••••• C••••••OwnerMANAGING PRINCIPAL / COO AND MEMBER, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← H•••••••• J•••••• M•••OwnerEXECUTOR OF THE ESTATE OF MICHAEL JOHN H••••••• AS SOLE MEMBER, ownership code E, individual
Jan 13, 2017 to presentfactForm ADV
← C•••••••• E••• 2••• L•OwnerMEMBER, ownership code C, domestic entity
Sep 27, 2017 to presentfactForm ADV
← E•••• C•••••• G••••• L•••OwnerMEMBER, ownership code E, domestic entity
Mar 27, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2012
Last observed: Mar 29, 2018 103 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.