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••
Latest filing Aug 4, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Jan 28, 1997
RAUM
$1.0B
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
200
89 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.0B as of Aug 4, 2026
Mar 30, 2012$6.4B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Aug 4, 2026
Mar 30, 20120 then
Employees (5.A)200 as of Aug 4, 2026
Apr 1, 201360 then
Private funds1 as of Mar 31, 2022
Mar 30, 201223 then
RAUM +14% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 4, 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
- $522MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
Private funds
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• C•• L••• A•• B••••••••• C•• L••no longer reported | Securitized Asset Fund | $520M | 12 | Mar 30, 2012 |
| S••••••• P••• C•• L••• A•• S••••••• P••• C•• C••••no longer reported | Other Private Fund | $261M | 13 | Mar 30, 2012 |
| B••••••••• C•• L••• A•• B••••••••• C•• C••••no longer reported | Securitized Asset Fund | $254M | 25 | Mar 30, 2012 |
| C••••••••• I• C•• L••• A•• C••••••••• I• C•• C••••no longer reported | Other Private Fund | $213M | 3 | Mar 30, 2012 |
| B••• R•••• C•• P••• L••• A•• B••• R•••• C•• P••• L••no longer reported | Securitized Asset Fund | $177M | 16 | Mar 30, 2012 |
| B••••••••• C•• I• L•••no longer reported | Securitized Asset Fund | $151M | 0 | Mar 30, 2012 |
| B••••••••• C•• I•• L•••no longer reported | Securitized Asset Fund | $114M | 0 | Mar 30, 2012 |
| M••••• S••••• C•• L••• A•• M••••• S••••• C•• C••••no longer reported | Other Private Fund | $107M | 2 | Mar 30, 2012 |
| M•••••••• P••• C•• L••• A•• M•••••••• P••• C•• C••••no longer reported | Other Private Fund | $101M | 13 | Mar 30, 2012 |
| F••••• C•••• C•• L••• A•• F••••• C•••• C•• I•••no longer reported | Other Private Fund | $31.9M | 6 | Mar 30, 2012 |
| K•••••••• C•• L••• A•• K•••••••• C•• I•••no longer reported | Securitized Asset Fund | $31.1M | 12 | Mar 30, 2012 |
| M•••••• E••• C•• I• B•••no longer reported | Securitized Asset Fund | $29.0M | 12 | Mar 30, 2012 |
| P••••••• C•• L••• A•• P••••••• C•• L••no longer reported | Securitized Asset Fund | $28.7M | 12 | Mar 30, 2012 |
| K•••••••• C•• I• L••• A•• K•••••••• C•• I• I•••no longer reported | Securitized Asset Fund | $27.4M | 12 | Mar 30, 2012 |
| R•••• N•••• C•• L••• A•• R•••• N•••• C•• C••••no longer reported | Securitized Asset Fund | $24.4M | 0 | Mar 30, 2012 |
| V•••• I••••••••• G•••• C•• L••• A•• V•••• I••••••••• G•••• C•• C••••no longer reported | Securitized Asset Fund | $17.7M | 12 | Mar 30, 2012 |
| M•• O•••• C•• 2••••• L•••no longer reported | Securitized Asset Fund | $15.3M | 0 | Mar 30, 2012 |
| V•••• I••••••••• G•••• C•• I• L•••no longer reported | Securitized Asset Fund | $10.5M | 13 | Mar 30, 2012 |
| R••••• C•• I• L•••••• A•• R••••• C•• ••••••••• I• C•••••••••no longer reported | Securitized Asset Fund | $9.9M | 12 | Mar 30, 2012 |
| M•• O•••• C•• 2••••• L•••no longer reported | Securitized Asset Fund | $8.0M | 0 | Mar 30, 2012 |
| R••••••• C••• L••• A•• R••••••• C••• C••••no longer reported | Other Private Fund | $7.3M | 5 | Mar 30, 2012 |
| N•••••••• C•• I• L••••••no longer reported | Securitized Asset Fund | $5.3M | 2 | Apr 1, 2013 |
| B••••••••• C•• I• L•••no longer reported | Securitized Asset Fund | $1.7M | 0 | Mar 30, 2012 |
| L••• G•••• C•• L••• A•• L••• G•••• C•• C••••no longer reported | Other Private Fund | $392,810 | 15 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• J•••• S•••••• · Chief Operating Officercontrolsince 09/2017 · owns less than 5%
- M•••••• R•••••• V•••••• · Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- R•••••••• A•••• K•••••• · General Counselcontrolsince 07/2022 · owns less than 5%
- V••••••• S••••••• J••••• · Chief Executive Officer And Chief Investment Officercontrolsince 02/2014 · owns less than 5%
- W•••••• L•••• Y•••••• · Chief Compliance Officer And Associate General Counselcontrolsince 08/2022 · owns less than 5%
- A•••••••• H•••• B•• K•••••• · Sole Membercontrolsince 11/2012 · owns 75% or more of S•••••• U•••••••• H••••••• L••••••
Entity owners
- C••• C•••••• H••••• L•• · Sole Memberdirect · owns 75% or more
- C•••••••• F•••••••• I••••••••• L• · L•••••• Partnerindirect · owns 75% or more of C•••••••• H••••••• I• L•
- C•••••••• H••••••• I• L• · Sole Memberindirect · owns 75% or more of C••• L••
- C••• C•••• · Sole Memberindirect · owns 75% or more of C••• C•••••• H••••• L••
- C••• L•• · Sole Memberindirect · owns 75% or more of C••• C••••
- S•••••• U•••••••• H••••••• L•••••• · L•••••• Partnerindirect · owns 75% or more of C•••••••• F•••••••• I••••••••• L•
Related persons
Schedule D 7.A
- C••• A•••• M••••••••• E••••• L••investment advisern
- C••• A•••• M••••••••• L••investment adviserbanknRAUM $45B
- C••• C•• A•••• F••• G• L••pooled vehicle sponsorn
- C••• C•• A•••• F••• I• G• L••pooled vehicle sponsorn
- C••• C•• M••••••••• I• L••investment advisern
- C••• C•• M••••••••• I•• L••pooled vehicle sponsorn
- C••• C•• M••••••••• L••investment advisern
- C••• C•• M••• F••• G• L••pooled vehicle sponsorn
- C••• C•• O••••••••• F••• I• G• L••bankpooled vehicle sponsorn
- C••• C•• O••••••••• F••• I•• G• L•pooled vehicle sponsorn
- C••• C•• O••••••••• F••• I• G• L•pooled vehicle sponsorn
- C••• C•• O••••••••• F••• V• G• L•pooled vehicle sponsorn
- C••• C•• S•••••••• P••••••• G• L••n
- C••• C•• S•••••••• P••••••• I• G• L••n
- C••• E•••• D••••• O••••••••• F••• G• L•bankpooled vehicle sponsorn
- C••• E•••• D••••• O••••••••• F••• G• S•••••••pooled vehicle sponsorn
- C••• G••••• S•••••••• C••••• F••• G• S•••••••pooled vehicle sponsorn
- C••• H••••••• I• S•• L••pooled vehicle sponsorn
- C••• N•• •••• G• S••••••pooled vehicle sponsorn
- C••• P•••••••• L••• F•••••• G• L••pooled vehicle sponsorn
- C••• S• C••••• O••••••••• F••• G• L••pooled vehicle sponsorn
- C••• S•••••••• O••••••••• F••• I• G• L••bankpooled vehicle sponsorn
- C••• S•••••••• O••••••••• F••• I• G• L••pooled vehicle sponsorn
- C••• S••••• S•••••• C•••••••• L••• F••• G•• L••pooled vehicle sponsorn
- C••• S••••••••• O••••••••• L•••••• A••••••• R••••• F••• G• L••pooled vehicle sponsorn
- C••• V• M••••••••• L••investment advisern
- C••••••• C••••• F•••••• O• L•n
- L•• C••••• F•••••• I••• L•••pooled vehicle sponsorn
- L•• C••••• F•••••• I•• L•••pooled vehicle sponsorn
- L•• C••••• F•••••• V• L•••pooled vehicle sponsorn
Advisers that list C••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY36 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 102 to 89Aug 11, 2025 to Mar 31, 2026
- Employees · 218 to 200Aug 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $915M to $1.0BAug 11, 2025 to Mar 31, 2026
- RAUM · $915M to $1.0BAug 11, 2025 to Mar 31, 2026
- Advisory employees · 93 to 102Mar 29, 2024 to Mar 28, 2025
- Employees · 209 to 218Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $592M to $915MMar 29, 2024 to Mar 28, 2025
- RAUM · $592M to $915MMar 29, 2024 to Mar 28, 2025
- Advisory employees · 97 to 93Apr 3, 2023 to Mar 29, 2024
- Advisory activities · 3 to 1Apr 3, 2023 to Mar 29, 2024
- Employees · 206 to 209Apr 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $460M to $592MApr 3, 2023 to Mar 29, 2024
- RAUM · $460M to $592MApr 3, 2023 to Mar 29, 2024
- Accounts · 3 to 2Sep 16, 2022 to Mar 31, 2023
- Advisory employees · 46 to 97Sep 16, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1.0 to unsetSep 16, 2022 to Mar 31, 2023
- Employees · 119 to 206Sep 16, 2022 to Mar 31, 2023
- Private funds · 1 to unsetSep 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $425M to $460MSep 16, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · 24372567.0 to unsetSep 16, 2022 to Mar 31, 2023
- RAUM · $425M to $460MSep 16, 2022 to Mar 31, 2023
- HQ city · NEW YORK to MIAMIMar 31, 2022 to Aug 12, 2022
- HQ state · NY to FLMar 31, 2022 to Aug 12, 2022
- Other offices · 1 to 2Mar 31, 2022 to Aug 12, 2022
- Advisory employees · 47 to 46Jan 2, 2022 to Mar 31, 2022
- Employees · 116 to 119Jan 2, 2022 to Mar 31, 2022
- Discretionary RAUM · $279M to $425MJan 2, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $34.2M to $24.4MJan 2, 2022 to Mar 31, 2022
- RAUM · $279M to $425MJan 2, 2022 to Mar 31, 2022
- Other offices · 0 to 1Apr 1, 2021 to Jan 2, 2022
- Discretionary RAUM · $192M to $276MJan 29, 2021 to Apr 1, 2021
- Pooled vehicle RAUM · $33.9M to $34.2MJan 29, 2021 to Apr 1, 2021
- RAUM · $192M to $276MJan 29, 2021 to Apr 1, 2021
- Advisory employees · 37 to 47Apr 1, 2021 to Apr 1, 2021
- Employees · 106 to 116Apr 1, 2021 to Apr 1, 2021
- Discretionary RAUM · $276M to $279MApr 1, 2021 to Apr 1, 2021
- RAUM · $276M to $279MApr 1, 2021 to Apr 1, 2021
- Advisory employees · 34 to 37Oct 22, 2019 to Mar 30, 2020
- Employees · 93 to 106Oct 22, 2019 to Mar 30, 2020
Signals
8 dated events
- C••• I••••••••• M••••••••• L•• reported RAUM $915.0M, up 55% from $592.2M (2024-03-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C••• I••••••••• M••••••••• L•• reported RAUM $592.2M, up 29% from $460.2M (2023-04-03 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Martin Henry Julian Weldon (General Counsel And Chief Compliance Officer) no longer on Schedule A of C••• I••••••••• M••••••••• L•• (listed 2022-03-31, absent 2022-08-12)Aug 12, 2022 · Control person left · inference
- C••• I••••••••• M••••••••• L•• reported RAUM $424.9M, up 52% from $279.2M (2022-01-02 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Vincent Robert Mcgann (Chief Financial Officer) appeared on Schedule A of C••• I••••••••• M••••••••• L••Jan 29, 2021 · Control person joined · fact
- Navin Rahul Agarwal (Chief Financial Officer) no longer on Schedule A of C••• I••••••••• M••••••••• L•• (listed 2019-10-22, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- C••• I••••••••• M••••••••• L•• reported RAUM $119.3M, down 67% from $360.2M (2018-05-25 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C••• I••••••••• M••••••••• L•• reported RAUM $360.2M, down 63% from $976.9M (2017-09-14 to 2018-03-30)Mar 30, 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.
How to reach
public business contact points only, each with its source
- Website
- C•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 786-652-3250reportedpublic record, Form ADV, Aug 4, 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
- Asset manager (funds and pooled vehicles)deriveda 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