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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserPlymouth Meeting, PennsylvaniaCRD 107644SEC 801-51733IAPD
Latest filing Jul 6, 2017
First filing on the tape Dec 21, 2011 · 21 filings
RAUM
$7.9B
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
43
23 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$182M gross assets
History
21 filings and snapshots on the tape
RAUM$7.9B as of Mar 30, 2017
Mar 30, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)43 as of Mar 30, 2017
Mar 28, 201332 then
Private funds1 as of Mar 30, 2017
Mar 30, 20121 then
RAUM +10% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 2017; 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
$122MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$182M, 1 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
  • controlled by a public reporting company (10.A)
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
65reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$182M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      • B•••••••• E•••• T••• · Chief Executive Officer And Chief Investment Officer
        since 03/2010 · owns less than 5%
      • C••••• S••••• T••••• · Chief Investment Strategist
        since 07/2015 · owns less than 5%
      • F••••• F••••• J••• · General Counsel
        since 11/2004 · owns less than 5%
      • F••••••• D•••• E•••• · Global Co-Head, Real Estate S•••••••••
        since 06/1998 · owns less than 5%
      • L••• R•••••• J••••• · Chief Financial Officer And Chief Compliance Officer
        since 01/2008 · owns less than 5%
      • M••••••• S••••• F•••••••• · Managing Director And Global Head Of Client Service And Marketing
        since 04/2007 · owns less than 5%
      • R••••• D••••• L••••••• · Managing Director, P•••••• Real Estate
        since 06/2006 · owns less than 5%
      Entity owners
      • C••••••••• I••••••••• M••••••••• H•••••••• I••• · Owner
        direct · owns 75% or more
      • T•• B••• O• N•• Y••• M••••• C••••••••• · Holding Company
        indirect · owns 75% or more of C••••••••• I••••••••• M••••••••• H•••••••• I••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list C••••••••• I••••••••• M••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 61 to 65
        Jan 18, 2017 to Mar 30, 2017
      • Advisory employees · 22 to 23
        Jan 18, 2017 to Mar 30, 2017
      • Assets in custody · $198M to $182M
        Jan 18, 2017 to Mar 30, 2017
      • Employees · 39 to 43
        Jan 18, 2017 to Mar 30, 2017
      • Discretionary RAUM · $7.2B to $7.9B
        Jan 18, 2017 to Mar 30, 2017
      • RAUM · $7.2B to $7.9B
        Jan 18, 2017 to Mar 30, 2017
      • Accounts · 54 to 61
        Dec 8, 2015 to Mar 30, 2016
      • Advisory employees · 21 to 22
        Dec 8, 2015 to Mar 30, 2016
      • BD registered reps · 3 to 4
        Dec 8, 2015 to Mar 30, 2016
      • Assets in custody · $196M to $198M
        Dec 8, 2015 to Mar 30, 2016
      • Employees · 37 to 39
        Dec 8, 2015 to Mar 30, 2016
      • Discretionary RAUM · $7.0B to $7.2B
        Dec 8, 2015 to Mar 30, 2016
      • RAUM · $7.0B to $7.2B
        Dec 8, 2015 to Mar 30, 2016
      • Accounts · 50 to 54
        Apr 4, 2014 to Mar 31, 2015
      • Advisory employees · 17 to 21
        Apr 4, 2014 to Mar 31, 2015
      • Assets in custody · $223M to $196M
        Apr 4, 2014 to Mar 31, 2015
      • Employees · 33 to 37
        Apr 4, 2014 to Mar 31, 2015
      • Discretionary RAUM · $5.5B to $7.0B
        Apr 4, 2014 to Mar 31, 2015
      • RAUM · $5.5B to $7.0B
        Apr 4, 2014 to Mar 31, 2015
      • Accounts · 48 to 50
        Jul 1, 2013 to Mar 31, 2014
      • Advisory employees · 16 to 17
        Jul 1, 2013 to Mar 31, 2014
      • Business name · U••••• S••••••••• M••••••••• I•• to C••••••••• I••••••••• M••••••••• I•••
        Jul 1, 2013 to Mar 31, 2014
      • Assets in custody · $406M to $223M
        Jul 1, 2013 to Mar 31, 2014
      • Employees · 32 to 33
        Jul 1, 2013 to Mar 31, 2014
      • Legal name · U••••• S••••••••• M••••••••• I•• to C••••••••• I••••••••• M••••••••• I•••
        Jul 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $6.0B to $5.5B
        Jul 1, 2013 to Mar 31, 2014
      • RAUM · $6.0B to $5.5B
        Jul 1, 2013 to Mar 31, 2014
      • Accounts · 41 to 48
        Nov 16, 2012 to Mar 28, 2013
      • Assets in custody · $332M to $406M
        Nov 16, 2012 to Mar 28, 2013
      • Employees · 25 to 32
        Nov 16, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.8B to $6.0B
        Nov 16, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $105M to $0
        Nov 16, 2012 to Mar 28, 2013
      • RAUM · $2.9B to $6.0B
        Nov 16, 2012 to Mar 28, 2013
      • Advisory employees · unset to 16.0
        Jul 26, 2012 to Nov 16, 2012
      • BD registered reps · unset to 3.0
        Jul 26, 2012 to Nov 16, 2012
      • Employees · unset to 25.0
        Jul 26, 2012 to Nov 16, 2012
      • State-registered IARs · unset to 0.0
        Jul 26, 2012 to Nov 16, 2012
      • Accounts · 38 to 41
        Dec 21, 2011 to Mar 30, 2012
      • Advisory activities · 3 to 4
        Dec 21, 2011 to Mar 30, 2012
      • Assets in custody · $343M to $332M
        Dec 21, 2011 to Mar 30, 2012
      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
      Across the graphs

      C••••••••• I••••••••• M••••••••• I••• 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.

      Checking your plan…