DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••• M•••• M••••••••• C••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Mar 26, 2012 · 19 filings
SEC status approved since Mar 25, 1992
RAUM
$374M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$374M as of Aug 13, 2026
Mar 26, 2012$488M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 13, 2026
Mar 20, 20130 then
Employees (5.A)8 as of Aug 13, 2026
Mar 20, 20139 then
Private funds4 as of Aug 13, 2026
Mar 26, 20122 then
RAUM -4.2% over the last fiscal year-2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 13, 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
- $93.6MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.2%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 pooled vehiclesreportedItem 5.G
- Custody
- $297M, 4 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$374M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $297M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• M•••• S•••••••• I••••••••• L••• | Hedge Fund | $185M | 40 | Mar 26, 2012 |
| C••• M•••• S•••••••• O••••••••• F••• I••• L••• | Hedge Fund | $138M | 29 | Mar 26, 2021 |
| C••• M•••• S•••••••• O••••••••• F••• I•• L• | Hedge Fund | $15.7M | 55 | Mar 27, 2014 |
| C••• M•••• S•••••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $12.1M | 58 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• A•••••• M••• · Managing Membercontrolsince 04/1987 · owns 10% to 25%
- L••• M••••••• S•••••• · Managing Member/Chief Investment Officercontrolsince 01/2019 · owns 10% to 25%
- R•••••• E••••••• J•••• · Managing Membercontrolsince 01/2020 · owns 10% to 25%
- R•••••• R•••••• C• · Managing Membercontrolsince 01/1993 · owns 10% to 25%
- W•••••• J••••• F••••• · Managing Membercontrolsince 01/2001 · owns 10% to 25%
- R•••• M••••• A••• · Controllersince 09/2008 · owns less than 5%
- S••••• R•••••• A••• · Chief Compliance Officersince 10/2004 · owns less than 5%
Related persons
Schedule D 7.A
- C••• M•••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $294M to $297MSep 16, 2025 to Mar 26, 2026
- Employees · 9 to 8Sep 16, 2025 to Mar 26, 2026
- Discretionary RAUM · $391M to $374MSep 16, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $391M to $374MSep 16, 2025 to Mar 26, 2026
- RAUM · $391M to $374MSep 16, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Jun 4, 2025 to Sep 16, 2025
- Accounts · 3 to 4Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 3 to 4Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $339M to $294MMar 28, 2024 to Mar 28, 2025
- Private funds · 3 to 4Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $383M to $391MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $383M to $391MMar 28, 2024 to Mar 28, 2025
- RAUM · $383M to $391MMar 28, 2024 to Mar 28, 2025
- Assets in custody · $329M to $339MMar 1, 2023 to Mar 28, 2024
- Employees · 8 to 9Mar 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $398M to $383MMar 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $398M to $383MMar 1, 2023 to Mar 28, 2024
- RAUM · $398M to $383MMar 1, 2023 to Mar 28, 2024
- Assets in custody · $283M to $329MMar 22, 2022 to Mar 1, 2023
- Employees · 9 to 8Mar 22, 2022 to Mar 1, 2023
- Discretionary RAUM · $433M to $398MMar 22, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $433M to $398MMar 22, 2022 to Mar 1, 2023
- RAUM · $433M to $398MMar 22, 2022 to Mar 1, 2023
- Assets in custody · $337M to $283MMar 26, 2021 to Mar 22, 2022
- Discretionary RAUM · $496M to $433MMar 26, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $496M to $433MMar 26, 2021 to Mar 22, 2022
- RAUM · $496M to $433MMar 26, 2021 to Mar 22, 2022
- Accounts · 2 to 3Mar 30, 2020 to Mar 26, 2021
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 26, 2021
- Pooled vehicle clients · 2 to 3Mar 30, 2020 to Mar 26, 2021
- Assets in custody · $405M to $337MMar 30, 2020 to Mar 26, 2021
- Employees · 8 to 9Mar 30, 2020 to Mar 26, 2021
- Private funds · 2 to 3Mar 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $559M to $496MMar 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $559M to $496MMar 30, 2020 to Mar 26, 2021
- RAUM · $559M to $496MMar 30, 2020 to Mar 26, 2021
- Advisory employees · 6 to 5Mar 28, 2019 to Mar 30, 2020
- Assets in custody · $520M to $405MMar 28, 2019 to Mar 30, 2020
- Employees · 9 to 8Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $613M to $559MMar 28, 2019 to Mar 30, 2020
Signals
2 dated events
- Jorge Esteban Rakela (Managing Member) appeared on Schedule A of C••• M•••• M••••••••• C••••••• L••Mar 30, 2020 · Control person joined · fact
- Sungmin Michael Lee (Managing Member) appeared on Schedule A of C••• M•••• M••••••••• C••••••• L••Mar 28, 2019 · Control person joined · fact
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•••M••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-909-8400reportedpublic record, Form ADV, Aug 13, 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