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•••••• G••••••• T•••• C••••••
Latest filing Jan 28, 2019
First filing on the tape Dec 22, 2011 · 16 filings
RAUM
$46B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.4%
$627M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
$2.8B gross assets
History
16 filings and snapshots on the tape
RAUM$46B as of Sep 28, 2018
Sep 28, 2012$68B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 28, 2018
Sep 27, 201358 then
Employees (5.A)8 as of Sep 28, 2018
Sep 27, 2013306 then
Private funds8 as of Sep 28, 2018
Sep 28, 201214 then
RAUM +3.5% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 2019; 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
- $48.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 49%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
- +3.5%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 companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $2.8B, 43 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
- is a trust company (6.A.8)
- 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 has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$17B37%
- Corporations and businesses$9.7B21%
- Pooled investment vehicles$7.8B17%
- Investment companies$4.8B11%
- State and municipal entities$3.7B8.1%
- Insurance companies$1.1B2.5%
- Charitable organizations$992M2.2%
- Individuals$627M1.4%
- Individual clients
- 765reported
- HNW clients
- n/areported
- Pension plan clients
- 30reported
- Charitable clients
- 8reported
- Accounts
- 936reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $704M managedreported
- Custody of client assets
- $2.8B for 43 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
- A••••• P••• H•• to L••••••• P•••••• A•••• M••••••••• L••Nov 28, 2014 · Other
- M••• R•••••• T••••• to M••••• S••••••Oct 24, 2014 · Other
- J••• J••••• Z•••••••• to W•••••• B•••• • C•••••• L•••••Apr 8, 2013 · Other
- J••• S•••• R••••• to U•• F•••••••• S••••••• I•••Apr 7, 2010 · Other
- E•••••• H•••••• M•••••• to C••••• • M•••••••• I•••Dec 31, 2009 · Other
Joined, latest
- E••••• S•••• W••• S••• from M••••• S•••••• D• I•••Jan 1, 2016 · Other
- H••• E•••• from W•••• F•••• A•••••••Nov 9, 2015 · Other
- E•••••••• R••• C•••• from L•••• A••••• • C•• L••Aug 31, 2015 · Other
- A••••• H••••• B•••• from M••••• S••••••Jun 19, 2015 · Other
- D••••• N••• R•••••• from A••••••••• L•••Apr 12, 2012 · Other
- W•••• A••••• D•••• from N•••••••• B••••• B• L••Jan 25, 2012 · Other
- W•••••• M••• C•••• from N•••••••• B••••• B• L••May 6, 2010 · Other
- J••• S•••• R••••• from N•••••••• B••••• B• L••Jul 10, 2009 · Other
- A••• M• S•••••••• from A••••••••• L•••Jul 7, 2009 · Other
- S••••• S•••••••• M•••••• from A••••••••• L•••Jul 1, 2009 · Other
- R••••• B••••• L•••• from A••••••••• L•••Jul 1, 2009 · Other
- L•••• M•••• K••• from N••••••• T•••• S••••••••• I••Jun 30, 2009 · Other
- J••• J••••• Z•••••••• from N•••••••• B••••• M••••••••• L••Jun 26, 2009 · Other
- E••• M••••• H••• from A••••••••• L•••Jun 26, 2009 · Other
- R••••• W•••••• K•••• from M•••• L••May 28, 2009 · Other
Private funds
9 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- A••••••••• C•••••• M•••• · Directorcontrolsince 12/2017 · owns less than 5%
- B•••••••• M•••• E••••• · Director & Sr. Vpcontrolsince 12/2017 · owns less than 5%
- F••••• M••••••• A•••••• · Director/Sr. V.P./Treasurercontrolsince 06/2002 · owns less than 5%
- K••••• P••••• C•••••• · Chairman & Presidentcontrolsince 09/2002 · owns less than 5%
- M•••••• P••••••• M••••• T••••• · Directorcontrolsince 01/2017 · owns less than 5%
- R•••• J••••• P•••••• · Directorcontrolsince 03/2014 · owns less than 5%
- S•••••••• J•••• M•••• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
Entity owners
- C•••••• G•••• I••••••••• I••• · Shareholderdirect · owns 75% or more
- C•••••• R••••••• A•• M••••••••• C•••••• · Shareholderindirect · owns 75% or more of C•••••• G•••• I••••••••• I•••
- T•• C•••••• G•••• C••••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• G•••• I••••••••• I•••
Related persons
Schedule D 7.A
- Capital Client Group, Inc.broker-dealerinvestment adviserreal estaten
- C•••••• B••• A•• T•••• C••••••investment adviserbankpooled vehicle sponsornRAUM $139B
- C•••••• G•••• P•••••• M••••••• I•••investment advisern
- C•••••• G••••••• •••••••• I•••investment advisery
- C•••••• I••••••••• A•••• M••••••••• •••••••• I•••investment advisern
- C•••••• I••••••••• K•••investment advisern
- C•••••• I••••••••• L••••••investment advisern
- C•••••• I••••••••• S•••investment adviserbankn
- C•••••• I••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $52B
- C•••••• R••••••• A•• M••••••••• C••••••investment adviserbankyRAUM $3754B
- C•••••• R••••••• C••••••investment advisern
Advisers that list C•••••• G••••••• T•••• C•••••• as a related person
- 110688 n
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 808 to 936Dec 21, 2017 to Sep 28, 2018
- Advisory employees · 4 to 3Dec 21, 2017 to Sep 28, 2018
- Advisory activities · 4 to 5Dec 21, 2017 to Sep 28, 2018
- Charity clients · 9 to 8Dec 21, 2017 to Sep 28, 2018
- Corporate clients · 28 to 35Dec 21, 2017 to Sep 28, 2018
- HNW clients · 26.0 to unsetDec 21, 2017 to Sep 28, 2018
- Individual clients · 643 to 765Dec 21, 2017 to Sep 28, 2018
- Pension plan clients · 31 to 30Dec 21, 2017 to Sep 28, 2018
- Pooled vehicle clients · 47 to 51Dec 21, 2017 to Sep 28, 2018
- Assets in custody · $2.8B to $2.8BDec 21, 2017 to Sep 28, 2018
- Employees · 10 to 8Dec 21, 2017 to Sep 28, 2018
- Other offices · 0 to 1Dec 21, 2017 to Sep 28, 2018
- Private funds · 10 to 8Dec 21, 2017 to Sep 28, 2018
- Discretionary RAUM · $46B to $46BDec 21, 2017 to Sep 28, 2018
- HNW RAUM · 126927029.0 to unsetDec 21, 2017 to Sep 28, 2018
- Individual RAUM · $549M to $627MDec 21, 2017 to Sep 28, 2018
- Non-discretionary RAUM · $154M to $124MDec 21, 2017 to Sep 28, 2018
- Pension RAUM · $18B to $17BDec 21, 2017 to Sep 28, 2018
- Pooled vehicle RAUM · $8.5B to $7.8BDec 21, 2017 to Sep 28, 2018
- RAUM · $46B to $46BDec 21, 2017 to Sep 28, 2018
- Wrap assets (manager) · $594M to $704MDec 21, 2017 to Sep 28, 2018
- Accounts · 146 to 808Sep 28, 2017 to Dec 21, 2017
- Charity clients · unset to 9.0Sep 28, 2017 to Dec 21, 2017
- Corporate clients · unset to 28.0Sep 28, 2017 to Dec 21, 2017
- HNW clients · unset to 26.0Sep 28, 2017 to Dec 21, 2017
- Individual clients · unset to 643.0Sep 28, 2017 to Dec 21, 2017
- Pension plan clients · unset to 31.0Sep 28, 2017 to Dec 21, 2017
- Pooled vehicle clients · unset to 47.0Sep 28, 2017 to Dec 21, 2017
- Other offices · unset to 0.0Sep 28, 2017 to Dec 21, 2017
- Discretionary RAUM · $44B to $46BSep 28, 2017 to Dec 21, 2017
- HNW RAUM · unset to 126927029.0Sep 28, 2017 to Dec 21, 2017
- Individual RAUM · unset to 549374350.0Sep 28, 2017 to Dec 21, 2017
- Non-discretionary RAUM · $158M to $154MSep 28, 2017 to Dec 21, 2017
- Pension RAUM · unset to 17591348613.0Sep 28, 2017 to Dec 21, 2017
- Pooled vehicle RAUM · unset to 8517800780.0Sep 28, 2017 to Dec 21, 2017
- RAUM · $44B to $46BSep 28, 2017 to Dec 21, 2017
- Wrap assets (manager) · unset to 594445327.0Sep 28, 2017 to Dec 21, 2017
- Wrap assets (sponsor) · unset to 0.0Sep 28, 2017 to Dec 21, 2017
- Accounts · 228 to 146Jan 10, 2017 to Sep 28, 2017
- Advisory employees · 7 to 4Jan 10, 2017 to Sep 28, 2017
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