DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

C•••••• G••••• I••

Former SEC-registered adviserNew York, New YorkCRD 106253SEC 801-39692IAPD

Latest filing Apr 28, 2023

First filing on the tape Mar 28, 2012 · 27 filings

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$30.6M as of Feb 14, 2023

Mar 28, 2012$3.0B then

HNW client RAUM$0 as of Feb 14, 2023

Mar 28, 2019$0 then

State-registered IARs (5.B.3)0 as of Feb 14, 2023

Mar 27, 20130 then

Employees (5.A)1 as of Feb 14, 2023

Mar 27, 201340 then

Private funds3 as of Feb 14, 2023

Mar 28, 201213 then

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Apr 28, 2023; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -89%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: otherreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: n/areported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

20 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A••••••••• 2••••• L••no longer reported	Securitized Asset Fund	$1.2B	1	Mar 28, 2012
C•••••• L••••••••• E••••• S••••••••• F••• ••••••••• L••no longer reported	Hedge Fund	$553M	24	Mar 12, 2015
A••••••••• 2••••• L••	Securitized Asset Fund	$322M	1	Mar 28, 2012
S••••••••• C•• 2••••• L••no longer reported	Securitized Asset Fund	$238M	1	Mar 28, 2012
E•••• O••••••• F••• L••no longer reported	Other Private Fund	$54.8M	1	Mar 27, 2013
C•••••• L••••••••• E••••• S••••••••• M••••• F••• L••no longer reported	Hedge Fund	$33.2M	5	Apr 20, 2016
C•••••• E••••• S••••••••• M••••• F••• L••no longer reported	Hedge Fund	$27.6M	13	Mar 28, 2012
V••••• S••••••••• A•••• F•••••• L••	Securitized Asset Fund	$21.2M	1	Mar 28, 2012
S••• L•no longer reported	Other Private Fund	$19.4M	4	Mar 28, 2012
B••••••• S••••••••• A•••• F••• L••	Securitized Asset Fund	$17.8M	1	Mar 28, 2012
C•••••• M••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$17.3M	10	Mar 28, 2012
C•• W•••••••• U•••••••• F•••• L•••no longer reported	Hedge Fund	$16.6M	1	Mar 28, 2012
H•• C•••••• E••••• S•••••••••no longer reported	Hedge Fund	$6.0M	2	Jul 26, 2016
C•••••• C••••••• P••••••• L•••no longer reported	Hedge Fund	$3.2M	6	Mar 6, 2014
C•••••• S•••••• O••••••••• M••••• F•••• L••	Hedge Fund	$2.7M	3	Mar 28, 2012
C•••••• M••••••••• M••••• F•••• L••no longer reported	Hedge Fund	$2.0M	40	Mar 28, 2012
C•••••• S•••••••• M••••• F••• L•no longer reported	Hedge Fund	$515,474	1	Mar 28, 2012
C•••••• M•••••• I••••••••• F•••• L•••no longer reported	Hedge Fund	$180,807	1	Nov 16, 2016
C•••••• R••••••••• O••••••••• M••••• F••• L•no longer reported	Hedge Fund	$69,983	5	Mar 27, 2013
C•••••• R••••• O••••••••• P••••••••• L•••no longer reported	Hedge Fund	$0	0	Mar 28, 2012

Owners and control persons

Schedule A and B, latest filing

H•••• G•••••• E•••• · Ceo/President/Director/Chief Compliance Officercontrol
since 08/1991 · owns less than 5%
H•••• G•••••• E•••• · Presidentcontrol
since 05/1999 · owns 75% or more of C•• H•••••••• I•••

Entity owners

M•••••• A••••• C•••••• H••••••• I••• · Sole Owner
direct · owns 75% or more
C•• H•••••••• I••• · Shareholder
indirect · owns 75% or more of M•••••• A••••• C•••••• H••••••• I•••

Related persons

Schedule D 7.A

C•••••• C••••••••• L••
pooled vehicle sponsorn
C•••••• G• I•••
investment adviserpooled vehicle sponsory
C•••••• I••••••••• G•••• I•••
pooled vehicle sponsorn
C•••••• U•••• L••••• L••
investment adviserpooled vehicle sponsory
E•••• C•••••• • L•
pooled vehicle sponsorn
E•••• H•••••••• L••
pooled vehicle sponsorn
E•••• M••••••••• L••
investment adviserpooled vehicle sponsorn
G•• C•••••• I••
pooled vehicle sponsorn
S•••••••• I••
n
S•••••••• S••••••••• I•••
pooled vehicle sponsorn
S•••••••• C••••••••• P••••••• ••••••• L•
pooled vehicle sponsorn
S•••••••• C••••••••• P••••••• G• L••
pooled vehicle sponsorn
S•••••••• C••••••••• P••••••• G• L•
pooled vehicle sponsorn
S•••••••• C••••••••• P••••••• L•
pooled vehicle sponsorn
S•••••••• C••••••••• P••••••• M••••••••• L••
investment adviserpooled vehicle sponsorn

Advisers that list C•••••• G••••• I•• as a related person

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 3.0 to unset
Feb 14, 2023 to Apr 28, 2023
Advisory employees · 1 to 0
Feb 14, 2023 to Apr 28, 2023
Pooled vehicle clients · 1 to 0
Feb 14, 2023 to Apr 28, 2023
Employees · 1 to 0
Feb 14, 2023 to Apr 28, 2023
Private funds · 3 to unset
Feb 14, 2023 to Apr 28, 2023
Discretionary RAUM · 30638760.0 to unset
Feb 14, 2023 to Apr 28, 2023
Non-discretionary RAUM · 0.0 to unset
Feb 14, 2023 to Apr 28, 2023
Pooled vehicle RAUM · $32,953 to $0
Feb 14, 2023 to Apr 28, 2023
RAUM · 30638760.0 to unset
Feb 14, 2023 to Apr 28, 2023
Accounts · 4 to 3
Mar 29, 2022 to Feb 14, 2023
Private funds · 4 to 3
Mar 29, 2022 to Feb 14, 2023
Discretionary RAUM · $290M to $30.6M
Mar 29, 2022 to Feb 14, 2023
Pooled vehicle RAUM · $82,366 to $32,953
Mar 29, 2022 to Feb 14, 2023
RAUM · $290M to $30.6M
Mar 29, 2022 to Feb 14, 2023
Assets in custody · 211100.0 to unset
Mar 26, 2021 to Mar 29, 2022
Custody of client assets · true to false
Mar 26, 2021 to Mar 29, 2022
Discretionary RAUM · $315M to $290M
Mar 26, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $1.4M to $82,366
Mar 26, 2021 to Mar 29, 2022
RAUM · $315M to $290M
Mar 26, 2021 to Mar 29, 2022
Related bank · true to false
Mar 26, 2021 to Mar 29, 2022
Accounts · 6 to 4
Mar 23, 2020 to Mar 26, 2021
Advisory activities · 2 to 1
Mar 23, 2020 to Mar 26, 2021
Pooled vehicle clients · 3 to 1
Mar 23, 2020 to Mar 26, 2021
Assets in custody · $2.9M to $211,100
Mar 23, 2020 to Mar 26, 2021
Employees · 2 to 1
Mar 23, 2020 to Mar 26, 2021
Private funds · 5 to 4
Mar 23, 2020 to Mar 26, 2021
Discretionary RAUM · $460M to $315M
Mar 23, 2020 to Mar 26, 2021
Pooled vehicle RAUM · $2.9M to $1.4M
Mar 23, 2020 to Mar 26, 2021
RAUM · $460M to $315M
Mar 23, 2020 to Mar 26, 2021
Accounts · 11 to 6
Jan 30, 2020 to Mar 23, 2020
Advisory employees · 6 to 1
Jan 30, 2020 to Mar 23, 2020
BD registered reps · 1 to 0
Jan 30, 2020 to Mar 23, 2020
Pooled vehicle clients · 8 to 3
Jan 30, 2020 to Mar 23, 2020
Assets in custody · $177M to $2.9M
Jan 30, 2020 to Mar 23, 2020
Employees · 9 to 2
Jan 30, 2020 to Mar 23, 2020
Other offices · 1 to 0
Jan 30, 2020 to Mar 23, 2020
Private funds · 6 to 5
Jan 30, 2020 to Mar 23, 2020
Discretionary RAUM · $593M to $460M
Jan 30, 2020 to Mar 23, 2020
Pooled vehicle RAUM · $177M to $2.9M
Jan 30, 2020 to Mar 23, 2020
RAUM · $593M to $460M
Jan 30, 2020 to Mar 23, 2020

Signals

7 dated events

C•••••• G••••• I•• reported RAUM $30.6M, down 89% from $289.7M (2022-03-29 to 2023-02-14)
Feb 14, 2023 · RAUM change · derived
C•••••• G••••• I•• reported RAUM $315.2M, down 32% from $460.3M (2020-03-23 to 2021-03-26)
Mar 26, 2021 · RAUM change · derived
Nader Behbehani (Chief Compliance Officer) no longer on Schedule A of C•••••• G••••• I•• (listed 2020-03-23, absent 2021-03-26)
Mar 26, 2021 · Control person left · inference
Lawrence John Hall (Secretary/Director) no longer on Schedule A of C•••••• G••••• I•• (listed 2020-01-30, absent 2020-03-23)
Mar 23, 2020 · Control person left · inference
Francis Ruchalski (Cfo/Director) no longer on Schedule A of C•••••• G••••• I•• (listed 2020-01-30, absent 2020-03-23)
Mar 23, 2020 · Control person left · inference
C•••••• G••••• I•• reported RAUM $592.5M, down 58% from $1.4B (2018-03-29 to 2019-03-28)
Mar 28, 2019 · RAUM change · derived
C•••••• G••••• I•• reported RAUM $1.4B, down 50% from $2.8B (2017-08-04 to 2018-03-29)
Mar 29, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026