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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SEC-registered adviser
C••••• R•••••••• M•••••• L••
Latest filing Aug 14, 2026
First filing on the tape Mar 30, 2012 · 45 filings
SEC status approved since Jun 13, 1983
RAUM
$2.3B
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
9.9%
$224M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$2.3B as of Aug 14, 2026
Mar 30, 2012$12B then
HNW client RAUM$192M as of Aug 14, 2026
Mar 29, 2018$400M then
State-registered IARs (5.B.3)0 as of Aug 14, 2026
Apr 1, 20130 then
Employees (5.A)24 as of Aug 14, 2026
Apr 1, 201357 then
Private funds1 as of Aug 14, 2026
Mar 30, 201212 then
RAUM -3.6% over the last fiscal year-4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 14, 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
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $8.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 9.7%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
- -3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +50%derived
- 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
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $25.6M, 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$917M57%
- State and municipal entities$198M12%
- High-net-worth individuals$192M12%
- Pooled investment vehicles$143M8.9%
- Corporations and businesses$99.2M6.2%
- Individuals$31.3M1.9%
- Pension and profit-sharing plans$22.0M1.4%
- Individual clients
- 163reported
- HNW clients
- 80reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 283reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $31.3M managedreported
- Custody of client assets
- $25.6M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.1 fund_share=0.47 institutional_share=0.1 related_bd=false related_bank=false bd_reps=6.0derived
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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• G••••• O••••••••• L•no longer reported | Hedge Fund | $104M | 43 | Mar 30, 2012 |
| C•• W•••••••• P•••••••• L•no longer reported | Hedge Fund | $100M | 38 | Mar 30, 2012 |
| C•• P•••••••• L•no longer reported | Hedge Fund | $85.8M | 38 | Mar 30, 2012 |
| K••••• P•••••••• L•••no longer reported | Hedge Fund | $47.0M | 14 | Mar 23, 2016 |
| L••••••••• O••••••••• M••••• F•••• L• | Hedge Fund | $38.6M | 15 | Mar 31, 2017 |
| G••••• O••••••••• A•••• F•••• L•••no longer reported | Hedge Fund | $35.7M | 1 | Mar 31, 2017 |
| C•• W•••••••• F••• L•••no longer reported | Hedge Fund | $28.2M | 8 | Mar 30, 2012 |
| C•• W•••••••• P••••••• I•• L•no longer reported | Hedge Fund | $25.5M | 21 | Mar 30, 2012 |
| P•• A••• A••••••• R••••• F•••• L•••no longer reported | Hedge Fund | $6.4M | 11 | Mar 23, 2016 |
| C•• C•••••• H•••••••• L••no longer reported | Private Equity Fund | $2.8M | 16 | Mar 30, 2012 |
| C•• 1••• E••••••••• F••• I•• L••no longer reported | Private Equity Fund | $2.4M | 98 | Mar 30, 2012 |
| C•• 2••• E••••••••• F••• I•• L••no longer reported | Private Equity Fund | $1.8M | 60 | Mar 30, 2012 |
| C•• 1••• E••••••••• F•••• L••no longer reported | Private Equity Fund | $1.1M | 91 | Mar 30, 2012 |
| C•• 1••• E••••••••• F•••• L••no longer reported | Private Equity Fund | $838,526 | 92 | Mar 30, 2012 |
| C•• 1••• E••••••••• F••• I•• L••no longer reported | Private Equity Fund | $649,738 | 51 | Mar 30, 2012 |
| C•• 1••• E••••••••• F•••• L••no longer reported | Private Equity Fund | $261,769 | 29 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• C••••••••• C•••••• · Co-Chief Executive Officercontrolsince 09/2019 · owns less than 5%
- F•••••• S•••••• J• · Vice Presidentcontrolsince 02/2019 · owns less than 5%
- G••••• S••••••• J••• · Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
- H•••••• B••••• M•••••• · Chief Investment Officercontrolsince 08/2019 · owns less than 5%
Entity owners
- C•• 2••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•• 2••• A••••••••• L••pooled vehicle sponsorcustodiany
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 20, 2026individual and HNW clients (Item 5.D) moved from 162.0 to 243.0 (+50.0%) between the annual amendments of 2025-04-22 and 2026-04-20; the peer median change was 0.0% (37 comparable advisers, 92.0th percentile of changes)peers: other advisers, $1B to $5B (37) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 203 to 283Apr 22, 2025 to Mar 23, 2026
- HNW clients · 95 to 80Apr 22, 2025 to Mar 23, 2026
- Individual clients · 67 to 163Apr 22, 2025 to Mar 23, 2026
- Pension plan clients · 6 to 7Apr 22, 2025 to Mar 23, 2026
- Assets in custody · $39.0M to $25.6MApr 22, 2025 to Mar 23, 2026
- Discretionary RAUM · $2.0B to $1.7BApr 22, 2025 to Mar 23, 2026
- HNW RAUM · $232M to $192MApr 22, 2025 to Mar 23, 2026
- Individual RAUM · $15.9M to $31.3MApr 22, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $367M to $518MApr 22, 2025 to Mar 23, 2026
- Pension RAUM · $50.3M to $22.0MApr 22, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $192M to $143MApr 22, 2025 to Mar 23, 2026
- RAUM · $2.4B to $2.3BApr 22, 2025 to Mar 23, 2026
- Wrap assets (manager) · $15.9M to $31.3MApr 22, 2025 to Mar 23, 2026
- Accounts · 140 to 203Jun 3, 2024 to Apr 22, 2025
- Advisory employees · 10 to 9Jun 3, 2024 to Apr 22, 2025
- HNW clients · 96 to 95Jun 3, 2024 to Apr 22, 2025
- Individual clients · unset to 67.0Jun 3, 2024 to Apr 22, 2025
- Pooled vehicle clients · 7 to 5Jun 3, 2024 to Apr 22, 2025
- Assets in custody · $38.6M to $39.0MJun 3, 2024 to Apr 22, 2025
- Employees · 26 to 24Jun 3, 2024 to Apr 22, 2025
- Financial planning clients · unset to Jun 3, 2024 to Apr 22, 2025
- Discretionary RAUM · $2.0B to $2.0BJun 3, 2024 to Apr 22, 2025
- HNW RAUM · $213M to $232MJun 3, 2024 to Apr 22, 2025
- Individual RAUM · unset to 15894053.0Jun 3, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $213M to $367MJun 3, 2024 to Apr 22, 2025
- Pension RAUM · $52.8M to $50.3MJun 3, 2024 to Apr 22, 2025
- Pooled vehicle RAUM · $364M to $192MJun 3, 2024 to Apr 22, 2025
- RAUM · $2.2B to $2.4BJun 3, 2024 to Apr 22, 2025
- Wrap assets (manager) · unset to 15894053.0Jun 3, 2024 to Apr 22, 2025
- Wrap assets (sponsor) · unset to 0.0Jun 3, 2024 to Apr 22, 2025
- Accounts · 161 to 140Oct 25, 2023 to Mar 27, 2024
- BD registered reps · 5 to 6Oct 25, 2023 to Mar 27, 2024
- Corporate clients · 15 to 8Oct 25, 2023 to Mar 27, 2024
- HNW clients · 107 to 96Oct 25, 2023 to Mar 27, 2024
- Pension plan clients · 9 to 6Oct 25, 2023 to Mar 27, 2024
- Pooled vehicle clients · 5 to 7Oct 25, 2023 to Mar 27, 2024
- Assets in custody · $40.5M to $38.6MOct 25, 2023 to Mar 27, 2024
- Employees · 25 to 26Oct 25, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.6B to $2.0BOct 25, 2023 to Mar 27, 2024
- HNW RAUM · $264M to $213MOct 25, 2023 to Mar 27, 2024
Signals
9 dated events
- Aaron Steven Yadegari (Chief Legal Officer/Chief Compliance Officer) no longer on Schedule A of C••••• R•••••••• M•••••• L•• (listed 2021-09-21, absent 2021-12-08)Dec 8, 2021 · Control person left · inference
- Harward Ronald Mcglynn (Chairman) no longer on Schedule A of C••••• R•••••••• M•••••• L•• (listed 2019-10-03, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- James Mark Beardi (Member, Board Of Managers) no longer on Schedule A of C••••• R•••••••• M•••••• L•• (listed 2019-08-02, absent 2019-10-03)Oct 3, 2019 · Control person left · inference
- Michael Brian Harvey (Chief Investment Officer) appeared on Schedule A of C••••• R•••••••• M•••••• L••Aug 2, 2019 · Control person joined · fact
- Brian Jay Abramson (Ceo/Co-Chief Investment Officer) no longer on Schedule A of C••••• R•••••••• M•••••• L•• (listed 2019-03-22, absent 2019-08-02)Aug 2, 2019 · Control person left · inference
- C••••• R•••••••• M•••••• L•• reported RAUM $4.6B, down 35% from $7.2B (2018-03-29 to 2019-03-22)Mar 22, 2019 · RAUM change · derived
- J Steven Fellin (Chief Financial Officer) appeared on Schedule A of C••••• R•••••••• M•••••• L••Mar 22, 2019 · Control person joined · fact
- Alberto Carlos Leal (Chief Financial Officer) no longer on Schedule A of C••••• R•••••••• M•••••• L•• (listed 2018-03-29, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
- Francis Rene Jones (Member, Board Of Managers) no longer on Schedule A of C••••• R•••••••• M•••••• L•• (listed 2018-03-29, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C••••• R•••••••• M•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- CRMLLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-326-5300reportedpublic record, Form ADV, Aug 14, 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
- Other 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