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•••••• • C••
Latest filing Mar 11, 2023
First filing on the tape Feb 2, 2012 · 31 filings
RAUM
$3.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$3.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$3.6B as of Mar 11, 2023
Mar 29, 2012$1.8B then
HNW client RAUM$152M as of Mar 11, 2023
Mar 29, 2018$2.9B then
State-registered IARs (5.B.3)1 as of Mar 11, 2023
Mar 29, 20120 then
Employees (5.A)23 as of Mar 11, 2023
Mar 20, 201318 then
Private funds: no history
RAUM -13% over the last fiscal year+5.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 2023; every figure names its basis
- RAUM per advisor
- $3.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,497derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $414,217derivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 23.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $19.8M, 66 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$3.2B87%
- Charitable organizations$178M4.9%
- High-net-worth individuals$152M4.2%
- Corporations and businesses$87.8M2.4%
- Pension and profit-sharing plans$42.3M1.2%
- Pooled investment vehicles$6.1M0.2%
- Individual clients
- 1,131reported
- HNW clients
- 366reported
- Pension plan clients
- 12reported
- Charitable clients
- 34reported
- Accounts
- 1,565reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.8M for 66 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- R••••• C•••••• E••••• to C•••••• • S••••• L••Feb 13, 2024 · RIA to RIA
- E••••• M••••• G•••• to C•••••• • S••••• L••Feb 13, 2024 · RIA to RIA
- W••••• K•••••• G•••• to C•••••• • S••••• L••Feb 13, 2024 · RIA to RIA
- W•••••• H•••• H•••••• I• to C•••••• • S••••• L••Feb 13, 2024 · RIA to RIA
- R••••• F•••• S•••••• to C•••••• • S••••• L••Feb 13, 2024 · RIA to RIA
- J••••• B•••• W••••• to C•••••• • S••••• L••Feb 13, 2024 · RIA to RIA
- I•• B••••• M•••••••• to C•••••• • S••••• L••Feb 13, 2024 · RIA to RIA
Joined, latest
- W•••••• H•••• H•••••• I• from A••••••••• L•••Sep 8, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for C•••••• • S••••• L••Feb 13, 2024 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• I••• B••••• · Partnercontrolsince 01/2014 · owns less than 5%
- M•••••••• D••••• J••••••• · Partnercontrolsince 03/2019 · owns less than 5%
- W•••••• J•••••• B•••• · Partnercontrolsince 03/1991 · owns less than 5%
- E•••••• R•••••• C•••••• · Partnersince 01/2014 · owns less than 5%
- G••••• E•••••• M••••• · Senior Vice Presidentsince 07/2011 · owns less than 5%
- G••••• W•••••• K•••••• · Senior Vice Presidentsince 06/2020 · owns less than 5%
- G•••••••• G••••• M•••••• · Chief Compliance Officersince 01/2022 · owns less than 5%
- H•••••• I•• W••••••• H•••• · Partnersince 08/2018 · owns less than 5%
- K••••• P•••••••• A•• · Partnersince 01/2016 · owns less than 5%
- L•••• J•••••••• B•••••• · Partnersince 10/2014 · owns less than 5%
- S••••••• A••• · Treasurersince 08/2015 · owns less than 5%
- S••••••• R•••••• F•••• · Senior Vice Presidentsince 01/2014 · owns less than 5%
- T•••• R•••••• C•••••• · Partnersince 01/2014 · owns less than 5%
- W••••••• P•••• A••••• · Partnersince 01/1995 · owns less than 5%
Entity owners
- P•• A••••••••• C••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Jupiter, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 1,534 to 1,565Oct 26, 2022 to Mar 11, 2023
- Corporate clients · 19 to 20Oct 26, 2022 to Mar 11, 2023
- HNW clients · 1,051 to 366Oct 26, 2022 to Mar 11, 2023
- Individual clients · 412 to 1,131Oct 26, 2022 to Mar 11, 2023
- Pension plan clients · 16 to 12Oct 26, 2022 to Mar 11, 2023
- Assets in custody · $65.2M to $19.8MOct 26, 2022 to Mar 11, 2023
- Discretionary RAUM · $4.2B to $3.6BOct 26, 2022 to Mar 11, 2023
- HNW RAUM · $3.6B to $152MOct 26, 2022 to Mar 11, 2023
- Individual RAUM · $200M to $3.2BOct 26, 2022 to Mar 11, 2023
- Pension RAUM · $74.7M to $42.3MOct 26, 2022 to Mar 11, 2023
- Pooled vehicle RAUM · $7.0M to $6.1MOct 26, 2022 to Mar 11, 2023
- RAUM · $4.2B to $3.6BOct 26, 2022 to Mar 11, 2023
- Accounts · 1,513 to 1,534Jan 7, 2022 to Mar 21, 2022
- Charity clients · 35 to 34Jan 7, 2022 to Mar 21, 2022
- Corporate clients · 7 to 19Jan 7, 2022 to Mar 21, 2022
- HNW clients · 1,082 to 1,051Jan 7, 2022 to Mar 21, 2022
- Individual clients · 374 to 412Jan 7, 2022 to Mar 21, 2022
- Pension plan clients · 11 to 16Jan 7, 2022 to Mar 21, 2022
- Pooled vehicle clients · 4 to 2Jan 7, 2022 to Mar 21, 2022
- Assets in custody · $50.1M to $65.2MJan 7, 2022 to Mar 21, 2022
- Discretionary RAUM · $3.9B to $4.2BJan 7, 2022 to Mar 21, 2022
- HNW RAUM · $3.5B to $3.6BJan 7, 2022 to Mar 21, 2022
- Individual RAUM · $173M to $200MJan 7, 2022 to Mar 21, 2022
- Pension RAUM · $46.7M to $74.7MJan 7, 2022 to Mar 21, 2022
- Pooled vehicle RAUM · $33.1M to $7.0MJan 7, 2022 to Mar 21, 2022
- RAUM · $3.9B to $4.2BJan 7, 2022 to Mar 21, 2022
- Business name · P•••• B• C•••••• • C••• I••• to C•••••• • C••Oct 7, 2021 to Jan 7, 2022
- Legal name · P•••• B• C•••••• • C••• I••• to C•••••• • C••Oct 7, 2021 to Jan 7, 2022
- Accounts · 1,456 to 1,513Jun 29, 2020 to Mar 30, 2021
- Advisory employees · 11 to 10Jun 29, 2020 to Mar 30, 2021
- Corporate clients · 6 to 7Jun 29, 2020 to Mar 30, 2021
- HNW clients · 1,061 to 1,082Jun 29, 2020 to Mar 30, 2021
- Individual clients · 339 to 374Jun 29, 2020 to Mar 30, 2021
- Assets in custody · $75.9M to $50.1MJun 29, 2020 to Mar 30, 2021
- Employees · 26 to 23Jun 29, 2020 to Mar 30, 2021
- Other offices · 0 to 1Jun 29, 2020 to Mar 30, 2021
- Discretionary RAUM · $3.1B to $3.9BJun 29, 2020 to Mar 30, 2021
- HNW RAUM · $2.8B to $3.5BJun 29, 2020 to Mar 30, 2021
- Individual RAUM · $155M to $173MJun 29, 2020 to Mar 30, 2021
- Pension RAUM · $34.6M to $46.7MJun 29, 2020 to Mar 30, 2021
Signals
10 dated events
- W••••• K•••••• G•••• left C•••••• • C•• for C•••••• • S••••• L•• (registered 2024-02-21)Feb 13, 2024 · Advisor changed firm · fact
- I•• B••••• M•••••••• left C•••••• • C•• for C•••••• • S••••• L•• (registered 2024-02-21)Feb 13, 2024 · Advisor changed firm · fact
- R••••• C•••••• E••••• left C•••••• • C•• for C•••••• • S••••• L•• (registered 2024-03-27)Feb 13, 2024 · Advisor changed firm · fact
- R••••• F•••• S•••••• left C•••••• • C•• for C•••••• • S••••• L•• (registered 2024-02-21)Feb 13, 2024 · Advisor changed firm · fact
- J••••• B•••• W••••• left C•••••• • C•• for C•••••• • S••••• L•• (registered 2024-02-21)Feb 13, 2024 · Advisor changed firm · fact
- E••••• M••••• G•••• left C•••••• • C•• for C•••••• • S••••• L•• (registered 2024-02-21)Feb 13, 2024 · Advisor changed firm · fact
- W•••••• H•••• H•••••• I• left C•••••• • C•• for C•••••• • S••••• L•• (registered 2024-02-21)Feb 13, 2024 · Advisor changed firm · fact
- C•••••• • C••'s advisors moved to C•••••• • S••••• L•• (New York, NY): 7 of 7 registered, on the same dayFeb 13, 2024 · Firm absorbed (people side) · derived
- C•••••• • C•• reported RAUM $3.9B, up 26% from $3.1B (2020-06-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- P•••• B• C•••••• • C••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 26, 2019 · Succession (Item 4) · fact
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