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.

Former SEC-registered adviser

Cornerstone

Former SEC-registered adviserEdina, MinnesotaCRD 107366SEC 801-45262IAPD
Legal name Cornerstone Capital Management LLC
Latest filing Aug 15, 2016
First filing on the tape Dec 8, 2011 · 20 filings
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
20
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$3.0B as of Mar 30, 2016
Mar 23, 2012$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 23, 20120 then
Employees (5.A)20 as of Mar 30, 2016
Mar 27, 201315 then
Private funds1 as of Mar 27, 2013
Mar 23, 20121 then
RAUM -76% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 15, 2016; 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
$77.6MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%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
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
n/areported
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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Cornerstone Long Short Fund, LLCno longer reportedHedge Fund$12.0M4Mar 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Anthony Herman Abdul · Senior Vice President, Chief Financial Officercontrol
        since 04/2015 · owns less than 5%
      • Owsley Christopher Blunt · Elected Managercontrol
        since 06/2015 · owns less than 5%
      • Alan Renny Cabreros · Corporate Vice President, Chief Compliance Officercontrol
        since 05/2016 · owns less than 5%
      • Nmn Yie-Hsin Hung · Chairman Of The Board Of Managers, Elected Managercontrol
        since 06/2015 · owns less than 5%
      • Gregory Thomas Kamp · Chief Investment Officer, Member, President And Elected Managercontrol
        since 11/2012 · owns 10% to 25%
      • Ray Loren Kix · Chief Administrative Officer, Senior Vice President And Treasurercontrol
        since 11/2012 · owns less than 5%
      • Scott Andrew Wyatt · Chief Executive Officer, Member And Elected Managercontrol
        since 11/2012 · owns 10% to 25%
      Entity owners
      • Cornerstone Capital Management · Member
        direct · owns 50% to 75%
      • New York Life Investment Management Holdings LLC · Sole Member
        indirect · owns 75% or more of Cornerstone Capital Management Holdings LLC
      • New York Life Insurance Company · Indirect Interest Holder
        indirect · owns 75% or more of New York Life Investment Management Holdings LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 13
        May 19, 2016 to Aug 2, 2016
      • Advisory activities · 3 to 2
        May 19, 2016 to Aug 2, 2016
      • Discretionary RAUM · $2.8B to $1.0B
        May 19, 2016 to Aug 2, 2016
      • RAUM · $2.8B to $1.0B
        May 19, 2016 to Aug 2, 2016
      • Accounts · 23 to 14
        Mar 30, 2016 to May 19, 2016
      • Discretionary RAUM · $3.0B to $2.8B
        Mar 30, 2016 to May 19, 2016
      • RAUM · $3.0B to $2.8B
        Mar 30, 2016 to May 19, 2016
      • Accounts · 74 to 23
        Jan 8, 2016 to Mar 30, 2016
      • Advisory employees · 12 to 11
        Jan 8, 2016 to Mar 30, 2016
      • Employees · 24 to 20
        Jan 8, 2016 to Mar 30, 2016
      • Discretionary RAUM · $4.3B to $3.0B
        Jan 8, 2016 to Mar 30, 2016
      • RAUM · $4.3B to $3.0B
        Jan 8, 2016 to Mar 30, 2016
      • Employees · 23 to 24
        Mar 30, 2015 to Jun 25, 2015
      • Accounts · 81 to 74
        Dec 1, 2014 to Mar 30, 2015
      • Advisory employees · 13 to 12
        Dec 1, 2014 to Mar 30, 2015
      • Discretionary RAUM · $4.2B to $4.3B
        Dec 1, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $348M to $0
        Dec 1, 2014 to Mar 30, 2015
      • RAUM · $4.6B to $4.3B
        Dec 1, 2014 to Mar 30, 2015
      • Discretionary RAUM · $4.4B to $4.2B
        Jul 17, 2014 to Oct 17, 2014
      • Non-discretionary RAUM · $389M to $348M
        Jul 17, 2014 to Oct 17, 2014
      • RAUM · $4.7B to $4.6B
        Jul 17, 2014 to Oct 17, 2014
      • Accounts · 76 to 81
        Mar 25, 2014 to Jul 17, 2014
      • Advisory activities · 4 to 3
        Mar 25, 2014 to Jul 17, 2014
      • Employees · 24 to 23
        Mar 25, 2014 to Jul 17, 2014
      • Discretionary RAUM · $4.6B to $4.4B
        Mar 25, 2014 to Jul 17, 2014
      • Non-discretionary RAUM · $11.0M to $389M
        Mar 25, 2014 to Jul 17, 2014
      • RAUM · $4.6B to $4.7B
        Mar 25, 2014 to Jul 17, 2014
      • Accounts · 99 to 76
        Mar 27, 2013 to Mar 25, 2014
      • Advisory employees · 9 to 13
        Mar 27, 2013 to Mar 25, 2014
      • BD registered reps · 0 to 1
        Mar 27, 2013 to Mar 25, 2014
      • Assets in custody · 11963000.0 to unset
        Mar 27, 2013 to Mar 25, 2014
      • Custody of client assets · true to false
        Mar 27, 2013 to Mar 25, 2014
      • Employees · 15 to 24
        Mar 27, 2013 to Mar 25, 2014
      • Private funds · 1 to unset
        Mar 27, 2013 to Mar 25, 2014
      • Discretionary RAUM · $3.9B to $4.6B
        Mar 27, 2013 to Mar 25, 2014
      • Non-discretionary RAUM · $15.0M to $11.0M
        Mar 27, 2013 to Mar 25, 2014
      • RAUM · $3.9B to $4.6B
        Mar 27, 2013 to Mar 25, 2014
      • Accounts · 95 to 99
        Jan 28, 2013 to Mar 27, 2013
      • Advisory employees · 10 to 9
        Jan 28, 2013 to Mar 27, 2013
      • Assets in custody · $12.0M to $12.0M
        Jan 28, 2013 to Mar 27, 2013
      Signals
      1 dated events
      • Cornerstone reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 11, 2012 · 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