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••••• A•••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 106820SEC 801-36972IAPD
Legal name C••••• A•••• M••••••••• L••
Latest filing Mar 14, 2021
First filing on the tape Mar 7, 2012 · 13 filings
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$56.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$138M as of Mar 14, 2021
Mar 7, 2012$113M then
HNW client RAUM$37.1M as of Mar 14, 2021
Feb 22, 2018$56.5M then
State-registered IARs (5.B.3)0 as of Mar 14, 2021
Mar 7, 20120 then
Employees (5.A)3 as of Mar 14, 2021
Mar 12, 20133 then
Private funds: no history
RAUM +21% over the last fiscal year+7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2021; 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
$4.1MderivedHNW RAUM over HNW clients
Average account
$3.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, 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
+21%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$65.0M, 7 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$37.1M64%
  • Individuals$19.7M34%
  • Corporations and businesses$853,5551.5%
  • Charitable organizations$128,1450.2%
Individual clients
20reported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
40reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$65.0M for 7 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••••• C•••• H••••• · Manager/Member; Chief Compliance Officercontrol
        since 08/2004 · owns 10% to 25%
      • P••••••••• C•••• H••••• · Manager/Membercontrol
        since 08/2004 · owns 75% or more of C••• H• P••••••••• • C•• L••
      Entity owners
      • C••• H• P••••••••• • C•• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $56.2M to $65.0M
        Jun 22, 2020 to Mar 14, 2021
      • Financial planning clients · unset to 0
        Jun 22, 2020 to Mar 14, 2021
      • Discretionary RAUM · $114M to $138M
        Jun 22, 2020 to Mar 14, 2021
      • HNW RAUM · $30.9M to $37.1M
        Jun 22, 2020 to Mar 14, 2021
      • Individual RAUM · $13.9M to $19.7M
        Jun 22, 2020 to Mar 14, 2021
      • RAUM · $114M to $138M
        Jun 22, 2020 to Mar 14, 2021
      • Accounts · 42 to 40
        May 29, 2019 to Mar 19, 2020
      • Assets in custody · $66.0M to $56.2M
        May 29, 2019 to Mar 19, 2020
      • Discretionary RAUM · $146M to $114M
        May 29, 2019 to Mar 19, 2020
      • HNW RAUM · $32.6M to $30.9M
        May 29, 2019 to Mar 19, 2020
      • Individual RAUM · $13.2M to $13.9M
        May 29, 2019 to Mar 19, 2020
      • RAUM · $146M to $114M
        May 29, 2019 to Mar 19, 2020
      • Accounts · 43 to 42
        Feb 22, 2018 to Mar 11, 2019
      • HNW clients · 17 to 9
        Feb 22, 2018 to Mar 11, 2019
      • Individual clients · 15 to 20
        Feb 22, 2018 to Mar 11, 2019
      • Assets in custody · $33.3M to $66.0M
        Feb 22, 2018 to Mar 11, 2019
      • Discretionary RAUM · $112M to $146M
        Feb 22, 2018 to Mar 11, 2019
      • HNW RAUM · $56.5M to $32.6M
        Feb 22, 2018 to Mar 11, 2019
      • Individual RAUM · $8.6M to $13.2M
        Feb 22, 2018 to Mar 11, 2019
      • RAUM · $112M to $146M
        Feb 22, 2018 to Mar 11, 2019
      • Accounts · 50 to 43
        Mar 9, 2017 to Feb 22, 2018
      • HNW clients · unset to 17.0
        Mar 9, 2017 to Feb 22, 2018
      • Individual clients · unset to 15.0
        Mar 9, 2017 to Feb 22, 2018
      • Assets in custody · $119M to $33.3M
        Mar 9, 2017 to Feb 22, 2018
      • Financial planning clients · 0 to unset
        Mar 9, 2017 to Feb 22, 2018
      • Other offices · unset to 0.0
        Mar 9, 2017 to Feb 22, 2018
      • Discretionary RAUM · $119M to $112M
        Mar 9, 2017 to Feb 22, 2018
      • HNW RAUM · unset to 56483340.0
        Mar 9, 2017 to Feb 22, 2018
      • Individual RAUM · unset to 8616693.0
        Mar 9, 2017 to Feb 22, 2018
      • RAUM · $119M to $112M
        Mar 9, 2017 to Feb 22, 2018
      • Accounts · 53 to 50
        Mar 7, 2016 to Mar 9, 2017
      • Assets in custody · unset to 119368000.0
        Mar 7, 2016 to Mar 9, 2017
      • Custody of client assets · false to true
        Mar 7, 2016 to Mar 9, 2017
      • Discretionary RAUM · $120M to $119M
        Mar 7, 2016 to Mar 9, 2017
      • RAUM · $120M to $119M
        Mar 7, 2016 to Mar 9, 2017
      • Accounts · 57 to 53
        Mar 16, 2015 to Mar 7, 2016
      • Discretionary RAUM · $114M to $120M
        Mar 16, 2015 to Mar 7, 2016
      • RAUM · $114M to $120M
        Mar 16, 2015 to Mar 7, 2016
      • Accounts · 58 to 57
        Mar 17, 2014 to Mar 16, 2015
      • Discretionary RAUM · $129M to $114M
        Mar 17, 2014 to Mar 16, 2015
      Signals
      No event on the tape.
      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