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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Former SEC-registered adviser

C•••• W••••••••• A••••••••• A•••• M••••••••• P•••••••••

Former SEC-registered adviserChampaign, IllinoisCRD 107800SEC 801-54871IAPD
Latest filing Mar 16, 2016
First filing on the tape Mar 19, 2012 · 9 filings
RAUM
$50.0M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$50.0M gross assets
History
9 filings and snapshots on the tape
RAUM$50.0M as of Mar 16, 2016
Mar 19, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2016
Mar 19, 20120 then
Employees (5.A)0 as of Mar 16, 2016
Mar 4, 20130 then
Private funds1 as of Mar 16, 2016
Mar 19, 20122 then
RAUM -1.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
$50.0MderivedRAUM 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
-1.3%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$294,092, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$294,092 for 1 clientsreported
Compensation
% of AUM, fixed, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• P••••••• I•• L•no longer reportedReal Estate Fund$160M2Mar 19, 2012
      P••••••• P••••••• V• L•••••• P•••••••••Real Estate Fund$50.0M2Mar 19, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• G••••••• D••• · Officer And Shareholder Of General Partner, C•••• Asset Management, Inc.control
        since 09/2004 · owns less than 5%
      • M••••••• S•••••• T••••• · Chief Compliance Officercontrol
        since 09/2004 · owns less than 5%
      • P•••• R••••••• E• · Ceocontrol
        since 09/2010 · owns 50% to 75% of G••••• A••••••••• P•••••••• I•••
      • S•••••••• G•••••• T• · Shareholdercontrol
        since 02/1988 · owns 25% to 50% of C•••• Asset Management, Inc.
      • W•••• M•••••• R•••••• · Shareholder And Officercontrol
        since 08/1980 · owns 25% to 50% of G••••• A••••••••• P•••••••• I•••
      Entity owners
      • C•••• A•••• M••••••••• I•• · General Partner
        direct · owns 50% to 75%
      • G••••• A••••••••• P•••••••• I••• · General Partner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Champaign, IL
      What changed
      consecutive filings, newest first
      • Assets in custody · $2.9M to $294,092
        Mar 30, 2015 to Mar 16, 2016
      • Discretionary RAUM · $50.7M to $50.0M
        Mar 30, 2015 to Mar 16, 2016
      • RAUM · $50.7M to $50.0M
        Mar 30, 2015 to Mar 16, 2016
      • Accounts · 0 to 1
        Jan 12, 2015 to Mar 30, 2015
      • Assets in custody · $12.7M to $2.9M
        Jan 12, 2015 to Mar 30, 2015
      • Discretionary RAUM · $0 to $50.7M
        Jan 12, 2015 to Mar 30, 2015
      • RAUM · $0 to $50.7M
        Jan 12, 2015 to Mar 30, 2015
      • Private funds · 2 to 1
        Jun 30, 2014 to Jan 12, 2015
      • Assets in custody · $11.8M to $12.7M
        Mar 4, 2013 to Mar 18, 2014
      • Assets in custody · $10.6M to $11.8M
        Mar 19, 2012 to Mar 4, 2013
      • Employees · unset to 0.0
        Mar 19, 2012 to Mar 4, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      C•••• W••••••••• A••••••••• A•••• M••••••••• P••••••••• 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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