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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SEC-registered adviser

C••• I••••••••• M••••••••• L••••• R••• A••••• L••

Other adviserRadnor, PennsylvaniaCRD 106256SEC 801-49083websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Mar 31, 1995
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
60
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$11B as of Mar 30, 2026
Mar 30, 2012$20B then
HNW client RAUM$24.6M as of Mar 30, 2020
Mar 30, 2018$102M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20135 then
Employees (5.A)60 as of Mar 30, 2026
Mar 28, 201387 then
Private funds1 as of Mar 22, 2024
Mar 30, 20124 then
RAUM +20% over the last fiscal year+2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
$216MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+20%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$3.8B35%
  • State and municipal entities$2.3B22%
  • Pooled investment vehicles$2.2B21%
  • Insurance companies$1.1B10%
  • Pension and profit-sharing plans$817M7.6%
  • Sovereign wealth funds$249M2.3%
  • Corporations and businesses$169M1.6%
  • Charitable organizations$116M1.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
5reported
Charitable clients
5reported
Accounts
50reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.56 institutional_share=0.43 related_bd=true related_bank=true bd_reps=3.0derived
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 departureEvery arrival
      Private funds
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• C•••••• G•••••• L•no longer reportedHedge Fund$113M21Mar 30, 2012
      C••• C•••••• G••••• R••• E••••• F••• L•no longer reportedOther Private Fund$69.2M11Feb 25, 2013
      C• R•••••• E•••• G••••• R••• F••• L•no longer reportedOther Private Fund$19.3M1Mar 30, 2012
      C• R•••••• E•••• G••••• R••• F••• ••• L•no longer reportedOther Private Fund$19.3M1Mar 30, 2012
      C••• C•••••• G••••• L••••• I••••••••• F••• L•no longer reportedOther Private Fund$11.9M3Feb 25, 2013
      C••• C•••••• G••••• R••• R••••• L••no longer reportedOther Private Fund$5.4M1Mar 30, 2012
      C••• L••••• R••• A••••• F•••• L•Other Private Fund$4.9M1Mar 31, 2015
      C••• C•••••• M•••••••• F•••• L•no longer reportedOther Private Fund$2.3M1Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• J•••••• M•••••• · Chief Investment Officer - L••••• I•••••••••control
        since 01/2016 · owns less than 5%
      • B••••• J•••••••• A• · Chief Financial Officer / Chief Operating Officercontrol
        since 01/2011 · owns less than 5%
      • C••••• J•••• C•••••••• · Chief Compliance Officercontrol
        since 01/2023 · owns less than 5%
      • M•••••••• D••••• J•••• · Head Of Investor Solutionscontrol
        since 07/2006 · owns less than 5%
      • R••••• C••••••••• S• · Portfolio Manager / Head Of Quantitative Researchcontrol
        since 12/2018 · owns less than 5%
      • S••••• J•••••• P•••••• · President / Chief Investment Officer - L••••• R••• Assetscontrol
        since 08/2001 · owns less than 5%
      • W•••••••• K••••••• S•••• · Chief Investment Officer - L••••• R••• E•••••control
        since 01/2023 · owns less than 5%
      Entity owners
      • C••• I••••••••• M••••••••• L••••• R••• A••••• H••••••• L•• · Member
        direct · owns 75% or more
      • C••• C•••••• H•••••••• L•• · Member
        indirect · owns 75% or more of C••• I••••••••• M••••••••• L••••• R••• A••••• H••••••• L••
      • C••• G••••• I••• · Shareholder
        indirect · owns 75% or more of C••• S•••••••• I••• · public reporting company
      • C••• I• U• H•••••• L•• · Shareholder
        indirect · owns 75% or more of C••• C•••••• H•••••••• L••
      • C••• S•••••••• I••• · Shareholder
        indirect · owns 75% or more of C•••• I•••
      • C•••• I••• · Shareholder
        indirect · owns 75% or more of C••• I• U• H•••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C••• I••••••••• M••••••••• L••••• R••• A••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Sydney Nsw 2000, Australia4 employees
      • London, United Kingdom2 employees
      • Tokyo, Japan2 employees
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity c••••edChange between filings · filing Mar 30, 2026
        wrap fee program participation (Item 5.I): yes on the filing of 2025-03-31, no on the filing of 2026-03-30
        peers: other advisers, $5B to $20B (134)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 54 to 50
        Mar 31, 2025 to Mar 30, 2026
      • BD registered reps · 4 to 3
        Mar 31, 2025 to Mar 30, 2026
      • Pooled vehicle clients · 11 to 13
        Mar 31, 2025 to Mar 30, 2026
      • Employees · 61 to 60
        Mar 31, 2025 to Mar 30, 2026
      • Discretionary RAUM · $8.8B to $11B
        Mar 31, 2025 to Mar 30, 2026
      • Non-discretionary RAUM · $135M to $0
        Mar 31, 2025 to Mar 30, 2026
      • Pension RAUM · $760M to $817M
        Mar 31, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $1.6B to $2.2B
        Mar 31, 2025 to Mar 30, 2026
      • RAUM · $9.0B to $11B
        Mar 31, 2025 to Mar 30, 2026
      • Wrap assets (manager) · 19893450.0 to unset
        Mar 31, 2025 to Mar 30, 2026
      • Wrap assets (sponsor) · 0.0 to unset
        Mar 31, 2025 to Mar 30, 2026
      • Accounts · 57 to 54
        Apr 5, 2024 to Mar 31, 2025
      • BD registered reps · 6 to 4
        Apr 5, 2024 to Mar 31, 2025
      • Pooled vehicle clients · 14 to 11
        Apr 5, 2024 to Mar 31, 2025
      • Assets in custody · 4903092.0 to unset
        Apr 5, 2024 to Mar 31, 2025
      • Custody of client assets · true to false
        Apr 5, 2024 to Mar 31, 2025
      • Employees · 64 to 61
        Apr 5, 2024 to Mar 31, 2025
      • Financial planning clients · 0 to 0
        Apr 5, 2024 to Mar 31, 2025
      • Private funds · 1 to unset
        Apr 5, 2024 to Mar 31, 2025
      • Discretionary RAUM · $9.5B to $8.8B
        Apr 5, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $317M to $135M
        Apr 5, 2024 to Mar 31, 2025
      • Pension RAUM · $615M to $760M
        Apr 5, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $1.8B to $1.6B
        Apr 5, 2024 to Mar 31, 2025
      • RAUM · $9.8B to $9.0B
        Apr 5, 2024 to Mar 31, 2025
      • Wrap assets (manager) · $16.6M to $19.9M
        Apr 5, 2024 to Mar 31, 2025
      • Accounts · 61 to 57
        Oct 18, 2023 to Mar 22, 2024
      • Charity clients · 6 to 5
        Oct 18, 2023 to Mar 22, 2024
      • Pension plan clients · 7 to 5
        Oct 18, 2023 to Mar 22, 2024
      • Assets in custody · $4.7M to $4.9M
        Oct 18, 2023 to Mar 22, 2024
      • Employees · 65 to 64
        Oct 18, 2023 to Mar 22, 2024
      • Discretionary RAUM · $9.9B to $9.5B
        Oct 18, 2023 to Mar 22, 2024
      • Non-discretionary RAUM · $183M to $317M
        Oct 18, 2023 to Mar 22, 2024
      • Pension RAUM · $573M to $615M
        Oct 18, 2023 to Mar 22, 2024
      • Pooled vehicle RAUM · $1.7B to $1.8B
        Oct 18, 2023 to Mar 22, 2024
      • RAUM · $10B to $9.8B
        Oct 18, 2023 to Mar 22, 2024
      • Wrap assets (manager) · $21.6M to $16.6M
        Oct 18, 2023 to Mar 22, 2024
      • Accounts · 54 to 61
        Jan 4, 2023 to Mar 30, 2023
      • Advisory employees · 28 to 30
        Jan 4, 2023 to Mar 30, 2023
      • Charity clients · unset to 6.0
        Jan 4, 2023 to Mar 30, 2023
      • Pooled vehicle clients · 12 to 14
        Jan 4, 2023 to Mar 30, 2023
      Signals
      7 dated events
      • Scott Kenneth Weinberg (Chief Investment Officer - Listed Real Estate) appeared on Schedule A of C••• I••••••••• M••••••••• L••••• R••• A••••• L••
        Mar 22, 2024 · Control person joined · fact
      • C••• I••••••••• M••••••••• L••••• R••• A••••• L•• reported RAUM $11.8B, up 53% from $7.7B (2021-11-12 to 2022-03-30)
        Mar 30, 2022 · ria raum c••••e · derived
      • Ritson Thomas Ferguson (Principal / Vice Chairman / Portfolio Manager) no longer on Schedule A of C••• I••••••••• M••••••••• L••••• R••• A••••• L•• (listed 2021-11-12, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • Burt Jarrett Kling (Principal) no longer on Schedule A of C••• I••••••••• M••••••••• L••••• R••• A••••• L•• (listed 2021-11-12, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • David Stephen Burton (Principal / Co-Chief Investment Officer) no longer on Schedule A of C••• I••••••••• M••••••••• L••••• R••• A••••• L•• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • C••• I••••••••• M••••••••• L••••• R••• A••••• L•• reported RAUM $10.5B, down 29% from $14.9B (2019-02-26 to 2019-03-29)
        Mar 29, 2019 · ria raum c••••e · derived
      • S. Christopher Reich (Principal / Senior Global Portfolio Manager) appeared on Schedule A of C••• I••••••••• M••••••••• L••••• R••• A••••• L••
        Mar 29, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      C•••IM.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      610-995-8900reportedpublic record, Form ADV, Mar 30, 2026
      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
      Other 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