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C•••••••• P•••••••• L•••

Former SEC-registered adviserFormer SEC adviser3 private funds· Cleveland, Ohio

Former SEC-registered adviser, based in Cleveland, Ohio, reporting $69B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2018-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $69B
RAUM change, last fiscal year: +5.9%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2018-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Also held on 1 other DFX graph, matched on shared identifiers.
Graphs 1

Every filed figure, and the identifiersCRD 107444 · SEC 801-50190 · 15 filingsShow

CRD 107444SEC 801-50190First filing on the tape Mar 27, 2012, latest Mar 29, 2018IAPD

RAUM

$69B

reported, Item 5.F

Discretionary

2.6%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

22 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$270M gross assets

History

15 filings and snapshots on the tape

RAUM$69B as of Mar 29, 2018

Mar 27, 2012$31B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 29, 2018

Mar 27, 20120 then

Employees (5.A)26 as of Mar 29, 2018

Mar 26, 201329 then

Private funds3 as of Mar 29, 2018

Mar 24, 20163 then

RAUM +5.9% over the last fiscal year+15% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 29, 2018; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $1.9BderivedRAUM over accounts (5.F.2.f)
Discretionary: 2.6%derivedof RAUM
Institutional: 97%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: +5.9%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, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody: $270M, 3 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

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)
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

State and municipal entities$65B94%
Pension and profit-sharing plans$2.1B3.0%
Corporations and businesses$1.2B1.8%
Other investment advisers$529M0.8%
Pooled investment vehicles$270M0.4%
Investment companies$150M0.2%
Banks and thrifts$84.0M0.1%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 12reported
Charitable clients: n/areported
Accounts: 37reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $270M for 3 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the 10 longest tenured

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

N•••••• S•••••• C•••••• · M••••••• Principal / Coo And M•••••control
since 11/2016 · owns 10% to 25%
H•••••••• J•••••• M••• · Executor Of The E••••• Of Michael John H••••••• As Shareholdercontrol
since 11/2016 · owns 75% or more of P•• C•••••••••
H•••••••• J•••••• M••• · Executor Of The E••••• Of Michael John H••••••• As Sole M•••••control
since 11/2016 · owns 75% or more of E•••• C•••••• G••••• L•••
K••••• P•••••••• A•• · Controller
since 10/2004 · owns less than 5%
M••••• C••••••• R••••• · Chief Compliance Officer, Anti-Money Laundering Compliance Officer And General Counsel
since 06/2016 · owns less than 5%

Entity owners

C•••••••• E••• 2••• L• · M•••••
direct · owns 25% to 50%
E•••• C•••••• G••••• L••• · M•••••
direct · owns 75% or more
P•• C••••••••• · M•••••
direct · owns 5% to 10%
P•• C••••••••• · General Partner
indirect · owns F of C•••••••• E••• 2••• L•

Related persons

Schedule D 7.A

P•• I••••••••• L•••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Los Angeles, CA2 employees

What changed

consecutive filings, newest first

Accounts · 40 to 37
Sep 27, 2017 to Mar 29, 2018
Advisory employees · 26 to 22
Sep 27, 2017 to Mar 29, 2018
HNW clients · unset to 0.0
Sep 27, 2017 to Mar 29, 2018
Individual clients · unset to 0.0
Sep 27, 2017 to Mar 29, 2018
Pension plan clients · unset to 12.0
Sep 27, 2017 to Mar 29, 2018

Full history · 63 changes

Pooled vehicle clients · unset to 3.0
Sep 27, 2017 to Mar 29, 2018
Assets in custody · $333M to $270M
Sep 27, 2017 to Mar 29, 2018
Employees · 30 to 26
Sep 27, 2017 to Mar 29, 2018
Other offices · unset to 2.0
Sep 27, 2017 to Mar 29, 2018
Discretionary RAUM · $2.1B to $1.8B
Sep 27, 2017 to Mar 29, 2018
Non-discretionary RAUM · $68B to $67B
Sep 27, 2017 to Mar 29, 2018
Pension RAUM · unset to 2090721985.0
Sep 27, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 269697530.0
Sep 27, 2017 to Mar 29, 2018
RAUM · $70B to $69B
Sep 27, 2017 to Mar 29, 2018
Discretionary RAUM · $2.0B to $2.1B
Apr 4, 2017 to Sep 27, 2017
Non-discretionary RAUM · $63B to $68B
Apr 4, 2017 to Sep 27, 2017
RAUM · $65B to $70B
Apr 4, 2017 to Sep 27, 2017
Accounts · 39 to 40
Jul 7, 2016 to Jan 13, 2017
Assets in custody · $345M to $333M
Jul 7, 2016 to Jan 13, 2017
Discretionary RAUM · $1.7B to $2.0B
Jul 7, 2016 to Jan 13, 2017
Non-discretionary RAUM · $61B to $63B
Jul 7, 2016 to Jan 13, 2017
RAUM · $62B to $65B
Jul 7, 2016 to Jan 13, 2017
Advisory employees · 29 to 26
Mar 24, 2016 to Jul 1, 2016
Assets in custody · $350M to $345M
Mar 24, 2016 to Jul 1, 2016
Employees · 33 to 30
Mar 24, 2016 to Jul 1, 2016
Discretionary RAUM · $1.6B to $1.7B
Mar 24, 2016 to Jul 1, 2016
Non-discretionary RAUM · $57B to $61B
Mar 24, 2016 to Jul 1, 2016
RAUM · $59B to $62B
Mar 24, 2016 to Jul 1, 2016
Accounts · 40 to 39
Sep 10, 2015 to Mar 24, 2016
Advisory employees · 26 to 29
Sep 10, 2015 to Mar 24, 2016
Assets in custody · $381M to $350M
Sep 10, 2015 to Mar 24, 2016
Employees · 30 to 33
Sep 10, 2015 to Mar 24, 2016
Discretionary RAUM · $1.5B to $1.6B
Sep 10, 2015 to Mar 24, 2016
Non-discretionary RAUM · $56B to $57B
Sep 10, 2015 to Mar 24, 2016
RAUM · $58B to $59B
Sep 10, 2015 to Mar 24, 2016
Accounts · 33 to 40
Mar 25, 2015 to Sep 10, 2015
Advisory employees · 25 to 26
Mar 25, 2015 to Sep 10, 2015
Advisory activities · 4 to 5
Mar 25, 2015 to Sep 10, 2015
Assets in custody · unset to 380527322.0
Mar 25, 2015 to Sep 10, 2015
Custody of client assets · false to true
Mar 25, 2015 to Sep 10, 2015
Employees · 29 to 30
Mar 25, 2015 to Sep 10, 2015
Private funds · unset to 3
Mar 25, 2015 to Sep 10, 2015
Discretionary RAUM · $1.2B to $1.5B
Mar 25, 2015 to Sep 10, 2015
Non-discretionary RAUM · $45B to $56B
Mar 25, 2015 to Sep 10, 2015
RAUM · $46B to $58B
Mar 25, 2015 to Sep 10, 2015
Accounts · 38 to 33
Mar 26, 2014 to Mar 25, 2015
Employees · 28 to 29
Mar 26, 2014 to Mar 25, 2015
Discretionary RAUM · $822M to $1.2B
Mar 26, 2014 to Mar 25, 2015
Non-discretionary RAUM · $41B to $45B
Mar 26, 2014 to Mar 25, 2015
RAUM · $42B to $46B
Mar 26, 2014 to Mar 25, 2015
Accounts · 37 to 38
Mar 26, 2013 to Mar 26, 2014
Employees · 29 to 28
Mar 26, 2013 to Mar 26, 2014
Discretionary RAUM · $723M to $822M
Mar 26, 2013 to Mar 26, 2014
Non-discretionary RAUM · $40B to $41B
Mar 26, 2013 to Mar 26, 2014
RAUM · $40B to $42B
Mar 26, 2013 to Mar 26, 2014
Accounts · 39 to 37
Oct 11, 2012 to Mar 26, 2013
Advisory employees · unset to 25.0
Oct 11, 2012 to Mar 26, 2013
Business name · C•••••••• P••••••• L•• to C•••••••• P•••••••• L•••
Oct 11, 2012 to Mar 26, 2013
Employees · unset to 29.0
Oct 11, 2012 to Mar 26, 2013
Legal name · C•••••••• P••••••• L•• to C•••••••• P•••••••• L•••
Oct 11, 2012 to Mar 26, 2013
Discretionary RAUM · $601M to $723M
Oct 11, 2012 to Mar 26, 2013
Non-discretionary RAUM · $31B to $40B
Oct 11, 2012 to Mar 26, 2013
RAUM · $31B to $40B
Oct 11, 2012 to Mar 26, 2013

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

C•••••••• P•••••••• L••• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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