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••••••••• I••••••••• C••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 41 filings
SEC status approved since Sep 10, 1999
RAUM
$14B
reported, Item 5.F
Discretionary
4.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$14B
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$14B as of Mar 31, 2026
Mar 28, 2012$315M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2018$368M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 19, 20130 then
Employees (5.A)10 as of Mar 31, 2026
Mar 19, 201314 then
Private funds: no history
RAUM +2818% over the last fiscal year+209% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $14BderivedRAUM 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
- $915MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.0%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2818%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- 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
- State and municipal entities$85.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=true bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••• B•••••• K•••••••• | New York, Ny | Oct 18, 2023 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• E•••• J••• · Managing Director And Investment Committee Membercontrolsince 01/2020 · owns less than 5%
- C••••••••• J•••••••• M•••• · Managing Director And Investment Committee Membercontrolsince 01/2020 · owns less than 5%
- G••••• F•••••••• N••••••• · Managing Director And Investment Committee Membercontrolsince 06/2020 · owns less than 5%
- G••••••• W•••••• A••• · Ccocontrolsince 01/2022 · owns less than 5%
- L••••• P•••• C••••••••• · Managing Director And Investment Committee Membercontrolsince 01/2022 · owns less than 5%
- W•••••• E••••••• W•••••••• · Ceocontrolsince 10/2021 · owns less than 5%
- W•••••• E••••••• W•••••••• · Elected Managercontrolsince 10/2010 · owns F of C••••••••• L••
Entity owners
- C••••••••• L•• · Memberdirect · owns 75% or more
- C••••••••• H••••••• L•• · Memberindirect · owns 50% to 75% of C••••••••• L••
Related persons
Schedule D 7.A
- C•• A•••••••• L••investment adviserbanknRAUM $46.6M
- C••••••••• I••••••••• S•••••••• L••investment advisernRAUM $150M
Advisers that list C••••••••• I••••••••• C••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 100.0% to 4.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $5B to $20B (134)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 18.0% to 1.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $5B to $20B (134)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $470,122,766 to $13,719,492,092 (+2818.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +9.0% (119 comparable advisers, 100.0th percentile of changes)peers: other advisers, $5B to $20B (119) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 15Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $470M to $555MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $13BMar 31, 2025 to Mar 31, 2026
- RAUM · $470M to $14BMar 31, 2025 to Mar 31, 2026
- Accounts · 57 to 16Nov 25, 2024 to Mar 31, 2025
- Employees · 12 to 10Nov 25, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Nov 25, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 4Nov 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $370M to $470MNov 25, 2024 to Mar 31, 2025
- RAUM · $370M to $470MNov 25, 2024 to Mar 31, 2025
- Advisory employees · 8 to 6Jan 10, 2024 to Mar 30, 2024
- Employees · 16 to 12Jan 10, 2024 to Mar 30, 2024
- State-registered IARs · 2 to 3Jan 10, 2024 to Mar 30, 2024
- Discretionary RAUM · $465M to $370MJan 10, 2024 to Mar 30, 2024
- RAUM · $465M to $370MJan 10, 2024 to Mar 30, 2024
- HQ city · STAMFORD to NEW YORKOct 4, 2023 to Jan 10, 2024
- HQ state · CT to NYOct 4, 2023 to Jan 10, 2024
- Accounts · 16 to 57Sep 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $480M to $465MSep 9, 2022 to Mar 31, 2023
- RAUM · $480M to $465MSep 9, 2022 to Mar 31, 2023
- HQ city · NEW YORK to STAMFORDApr 19, 2022 to Sep 9, 2022
- HQ state · NY to CTApr 19, 2022 to Sep 9, 2022
- Accounts · 26 to 16Jan 18, 2022 to Mar 31, 2022
- Advisory employees · 10 to 8Jan 18, 2022 to Mar 31, 2022
- State-registered IARs · 1 to 2Jan 18, 2022 to Mar 31, 2022
- Discretionary RAUM · $372M to $480MJan 18, 2022 to Mar 31, 2022
- RAUM · $372M to $480MJan 18, 2022 to Mar 31, 2022
- Accounts · 33 to 26Jan 30, 2021 to Mar 31, 2021
- Advisory employees · 12 to 10Jan 30, 2021 to Mar 31, 2021
- Employees · 15 to 16Jan 30, 2021 to Mar 31, 2021
- Other offices · 1 to 0Jan 30, 2021 to Mar 31, 2021
- Discretionary RAUM · $615M to $372MJan 30, 2021 to Mar 31, 2021
- RAUM · $615M to $372MJan 30, 2021 to Mar 31, 2021
- Related broker-dealer · true to falseJul 28, 2020 to Jan 30, 2021
- Accounts · 38 to 33Mar 29, 2019 to Mar 30, 2020
- BD registered reps · 2 to 1Mar 29, 2019 to Mar 30, 2020
- Employees · 18 to 15Mar 29, 2019 to Mar 30, 2020
- State-registered IARs · 0 to 1Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $545M to $615MMar 29, 2019 to Mar 30, 2020
- RAUM · $545M to $615MMar 29, 2019 to Mar 30, 2020
Signals
16 dated events
- C••••••••• I••••••••• C••••••••• L•• reported RAUM $13.7B, up 2818% from $470.1M (2025-03-31 to 2026-03-31)Mar 31, 2026 · ria raum c•••ge · derived
- C••••••••• I••••••••• C••••••••• L•• reported RAUM $470.1M, up 27% from $369.9M (2024-11-25 to 2025-03-31)Mar 31, 2025 · ria raum c•••ge · derived
- Deforrest James Bishop (Elected Manager) no longer on Schedule A of C••••••••• I••••••••• C••••••••• L•• (listed 2024-03-30, absent 2024-11-25)Nov 25, 2024 · Control person left · inference
- Jane Elisa Mailman (Managing Director And Investment Committee Member) no longer on Schedule A of C••••••••• I••••••••• C••••••••• L•• (listed 2024-03-30, absent 2024-11-25)Nov 25, 2024 · Control person left · inference
- Christopher Paul Leary (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• C••••••••• L••Apr 19, 2022 · Control person joined · fact
- Jane Elisa Mailman (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• C••••••••• L••Apr 19, 2022 · Control person joined · fact
- C••••••••• I••••••••• C••••••••• L•• reported RAUM $480.0M, up 29% from $371.9M (2022-01-18 to 2022-03-31)Mar 31, 2022 · ria raum c•••ge · derived
- Alan Walter Gilmore (Cco) appeared on Schedule A of C••••••••• I••••••••• C••••••••• L••Jan 13, 2022 · Control person joined · fact
- J••••• A••• E••••••••• (Cco) no longer on Schedule A of C••••••••• I••••••••• C••••••••• L•• (listed 2021-10-22, absent 2022-01-13)Jan 13, 2022 · Control person left · inference
- Chan Timothy Ng (Managing Director And Investment Committee Member) no longer on Schedule A of C••••••••• I••••••••• C••••••••• L•• (listed 2021-08-05, absent 2021-10-22)Oct 22, 2021 · Control person left · inference
- Alan Walter Gilmore (Chief Compliance Officer) no longer on Schedule A of C••••••••• I••••••••• C••••••••• L•• (listed 2021-03-31, absent 2021-08-05)Aug 5, 2021 · Control person left · inference
- J••••• A••• E••••••••• (Cco) appeared on Schedule A of C••••••••• I••••••••• C••••••••• L••Aug 5, 2021 · Control person joined · fact
- C••••••••• I••••••••• C••••••••• L•• reported RAUM $371.9M, down 39% from $614.7M (2021-01-30 to 2021-03-31)Mar 31, 2021 · ria raum c•••ge · derived
- Nicholas Fernando Garip (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• C••••••••• L••Mar 31, 2021 · Control person joined · fact
- Moore Jonathan Chesshire (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• C••••••••• L••Mar 31, 2021 · Control person joined · fact
- John Eric Blasberg (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• C••••••••• L••Mar 31, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• I••••••••• C••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- C•••••••••GLOBAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212 359-0290reportedpublic record, Form ADV, Mar 31, 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
- $14Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026