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••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 107916SEC 801-54670IAPD
Legal name C•••• W••••••••• L••
Latest filing Mar 31, 2015
First filing on the tape Mar 29, 2012 · 4 filings
RAUM
$864M
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
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
15
$238M gross assets
History
4 filings and snapshots on the tape
RAUM$864M as of Mar 31, 2015
Mar 29, 2012$526M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 29, 20120 then
Employees (5.A)11 as of Mar 31, 2015
Apr 1, 20139 then
Private funds15 as of Mar 31, 2015
Mar 29, 201217 then
RAUM +2.1% over the last fiscal year+18% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
$4.4MderivedRAUM 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
+2.1%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$864M, 79 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
197reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$864M for 79 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
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L• F••••• I••••••••• L••Private Equity Fund$60.9M14Mar 29, 2012
      C• H•••• F••• I• L••Hedge Fund$40.2M45Mar 29, 2012
      T•• F••••• I••••••••• L••Private Equity Fund$23.2M3Mar 29, 2012
      E•• F••••• I••••••••• F••• L••Private Equity Fund$19.6M4Mar 29, 2012
      C• P•••••• E••••• F••• 2•••• L••Private Equity Fund$18.5M44Mar 29, 2012
      C• H•••• F••• I•• L••Hedge Fund$16.1M25Mar 29, 2012
      T•• F••••• I••••••••• L•• I•Real Estate Fund$11.2M4Mar 29, 2012
      C• R••• A•••• F••• 2•••• L••Real Estate Fund$9.6M42Mar 29, 2012
      C• P•••••• E••••• F••• 2•••• L••Private Equity Fund$9.4M48Mar 29, 2012
      C• V•••••• F••• I•• L••Venture Capital Fund$7.6M35Mar 29, 2012
      L• F••••• I••••••••• L•• I•Private Equity Fund$7.4M6Mar 29, 2012
      C• R••• E••••• F••• I••• L••Real Estate Fund$6.3M34Mar 29, 2012
      C• R••• E••••• F••• I•• L••Real Estate Fund$4.3M33Mar 29, 2012
      C• R••• E••••• F••• I• L••Real Estate Fund$1.9M19Mar 29, 2012
      C• V•••••• F••• I•• L••Venture Capital Fund$1.4M13Mar 29, 2012
      C• V•••••• F••• I••• L••Venture Capital Fund$1.3M15Mar 29, 2012
      C• V•••••• F••• I• L••no longer reportedVenture Capital Fund$615,28511Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• S•••••• C•••• · Directorcontrol
        since 11/2010 · owns less than 5%
      • C••••• A•••••• C•••••• · Directorcontrol
        since 11/2010 · owns less than 5%
      • C••••• J••••• W••••••••• · Director / Member Of Management Committeecontrol
        since 06/2008 · owns less than 5%
      • C••••• V•••••••• W••••••••• · Directorcontrol
        since 11/2010 · owns 75% or more
      • C•••••••• L••••• C•••• · Director / Member Of Management Committeecontrol
        since 11/2010 · owns less than 5%
      • R•••••••• J•••• M•••••• · Interim Executive Director And Ccocontrol
        since 02/2015 · owns less than 5%
      • B••••• S•••••• C•••• · Trusteecontrol
        since 11/2006 · owns F of C•••• W••••••••• T••••
      • C••••• A•••••• C•••••• · Trusteecontrol
        since 11/2006 · owns F of C•••• W••••••••• T••••
      • C••••• V•••••••• W••••••••• · Trusteecontrol
        since 11/2006 · owns F of C•••• W••••••••• T••••
      • C•••••••• L••••• C•••• · Trusteecontrol
        since 11/2006 · owns F of C•••• W••••••••• T••••
      Entity owners
      • C•••• W••••••••• T•••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 207 to 197
        Mar 19, 2014 to Mar 31, 2015
      • Assets in custody · $847M to $864M
        Mar 19, 2014 to Mar 31, 2015
      • Employees · 9 to 11
        Mar 19, 2014 to Mar 31, 2015
      • State-registered IARs · 2 to 0
        Mar 19, 2014 to Mar 31, 2015
      • Private funds · 16 to 15
        Mar 19, 2014 to Mar 31, 2015
      • Discretionary RAUM · $841M to $861M
        Mar 19, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $5.2M to $3.8M
        Mar 19, 2014 to Mar 31, 2015
      • RAUM · $847M to $864M
        Mar 19, 2014 to Mar 31, 2015
      • Related adviser · true to false
        Mar 19, 2014 to Mar 31, 2015
      • Accounts · 195 to 207
        Apr 1, 2013 to Mar 19, 2014
      • Assets in custody · $768M to $847M
        Apr 1, 2013 to Mar 19, 2014
      • Discretionary RAUM · $765M to $841M
        Apr 1, 2013 to Mar 19, 2014
      • Non-discretionary RAUM · $2.6M to $5.2M
        Apr 1, 2013 to Mar 19, 2014
      • RAUM · $768M to $847M
        Apr 1, 2013 to Mar 19, 2014
      • Related adviser · false to true
        Apr 1, 2013 to Mar 19, 2014
      • Accounts · 180 to 195
        Mar 29, 2012 to Apr 1, 2013
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Apr 1, 2013
      • Assets in custody · $526M to $768M
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Mar 29, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 2
        Mar 29, 2012 to Apr 1, 2013
      • Private funds · 17 to 16
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $525M to $765M
        Mar 29, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $797,328 to $2.6M
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $526M to $768M
        Mar 29, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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••••••••• 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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