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
G•••••• C•••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Dec 2, 2011 · 42 filings
SEC status approved since Dec 14, 1971
RAUM
$987M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$987M as of Mar 30, 2026
Mar 26, 2012$1.2B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 26, 20120 then
Employees (5.A)9 as of Mar 30, 2026
Mar 18, 201310 then
Private funds: no history
RAUM +13% over the last fiscal year-3.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $987MderivedRAUM 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
- $197MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 91%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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 feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$595M60%
- Pension and profit-sharing plans$302M31%
- Pooled investment vehicles$88.9M9.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- 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=0.09 institutional_share=0.91 related_bd=true related_bank=true bd_reps=5.0derived
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
- L•••• R•••••• C••••••••• to J••••• G•••• H•••••••• I•••Apr 26, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• L••••••• E•••• · Chief Executive Officer & Chair Of The Boardcontrolsince 11/2011 · owns less than 5%
- D•••• M••••••• K•••••• · Head Of C•••••• North Americacontrolsince 10/2023 · owns less than 5%
- L••• J•••• W•• · Chief Financial Officercontrolsince 11/2011 · owns less than 5%
- P•••••• R•••••• S•••••• · Chief Compliance Officercontrolsince 11/2011 · owns less than 5%
- S••••••• V• ••••••• R• · Chief Legal Officer\Corporate Secretarycontrolsince 01/2011 · owns less than 5%
- B•••••••• C••••••• A••• · Managing Director, Sr. Portfolio Manager & Cio North Americasince 01/2007 · owns less than 5%
- R•••• L•••• M•••• · Managing Director, Sr. Portfolio Managersince 01/2007 · owns less than 5%
Entity owners
- C•••••• • C•••••• · Ownerdirect · owns 75% or more
- A••••••••• G••••••• S•••• · Shareholderindirect · owns 75% or more of G••••••• I••••••••• H•••••• S••••
- C•••••• H••••••• C••• · Shareholderindirect · owns 75% or more of C•••••• • C••••••
- C•••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• U.S. Holdings Inc.
- C•••••• U••• H•••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• C•••.
- G••••••• I••••••••• H•••••• S•••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• L••••••
Related persons
Schedule D 7.A
- C•••••• A••• P•••••• L•••••• •••• K••••broker-dealerinvestment advisern
- C•••••• A•••• M••••••••• L••• •••broker-dealerinvestment advisern
- C•••••• I••••••••• P•••••••• I•••broker-dealerinvestment advisernRAUM $572M
- C••••••• I•••investment adviserbankyRAUM $107B
- G••••• E•••••••• A•••• M••••••••• A••investment advisern
- G••••• E•••••••• F••• M••••••••• S••••••••• P••• L•••investment advisern
- G••••• E•••••••• M•••• S•investment advisern
- G••••• E•••••••• U••• L••investment advisernRAUM $1.2B
- O•••••• C••••• I••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $35B
- O•••••• C••••• O••••••••• G•• L••pooled vehicle sponsorn
- O•••••• F•••• G• I•• L••pooled vehicle sponsory
- O•••••• F•••• G• L••pooled vehicle sponsorn
- O•••••• F•••• I• G•• L••pooled vehicle sponsorn
- P•••••••• M•••••••• R••••• P••••••• G• I•• L•••••pooled vehicle sponsorn
- P•••••••• M•••••••• R••••• P••••••• G• V• L•••••pooled vehicle sponsorn
- P•••••••• R••• E••••• S•••••••• L•••••investment companyn
- P•••••••• R••• E•••••• L•••••pooled vehicle sponsorn
- P•• G• I• L•••••pooled vehicle sponsorn
- P•• G• I•• L•••••pooled vehicle sponsorn
- P••• I••••••••• A•••••••• L•••••investment advisernRAUM $1.9B
Advisers that list G•••••• C•••••• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 5Nov 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $870M to $987MNov 11, 2025 to Mar 30, 2026
- Pension RAUM · $251M to $302MNov 11, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $69.2M to $88.9MNov 11, 2025 to Mar 30, 2026
- RAUM · $870M to $987MNov 11, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 11, 2025
- Accounts · 7 to 4May 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $870MMay 6, 2024 to Mar 28, 2025
- Pension RAUM · $404M to $251MMay 6, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $75.2M to $69.2MMay 6, 2024 to Mar 28, 2025
- RAUM · $1.0B to $870MMay 6, 2024 to Mar 28, 2025
- Accounts · 9 to 7Oct 2, 2023 to Mar 26, 2024
- Pension plan clients · 5 to 0Oct 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.1B to $1.0BOct 2, 2023 to Mar 26, 2024
- Pension RAUM · $485M to $404MOct 2, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $78.6M to $75.2MOct 2, 2023 to Mar 26, 2024
- RAUM · $1.1B to $1.0BOct 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.0B to $1.1BSep 20, 2022 to Mar 29, 2023
- Pension RAUM · $505M to $485MSep 20, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $81.4M to $78.6MSep 20, 2022 to Mar 29, 2023
- RAUM · $1.0B to $1.1BSep 20, 2022 to Mar 29, 2023
- Pension plan clients · 6 to 5Mar 28, 2022 to Sep 20, 2022
- Discretionary RAUM · $2.3B to $1.0BMar 28, 2022 to Sep 20, 2022
- Pension RAUM · $703M to $505MMar 28, 2022 to Sep 20, 2022
- Pooled vehicle RAUM · $92.6M to $81.4MMar 28, 2022 to Sep 20, 2022
- RAUM · $2.3B to $1.0BMar 28, 2022 to Sep 20, 2022
- Discretionary RAUM · $2.2B to $2.3BMar 25, 2021 to Mar 28, 2022
- Pension RAUM · $599M to $703MMar 25, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $93.3M to $92.6MMar 25, 2021 to Mar 28, 2022
- RAUM · $2.2B to $2.3BMar 25, 2021 to Mar 28, 2022
- Accounts · 38 to 9Oct 6, 2020 to Mar 25, 2021
- Discretionary RAUM · $2.0B to $2.2BOct 6, 2020 to Mar 25, 2021
- Pension RAUM · $530M to $599MOct 6, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $86.3M to $93.3MOct 6, 2020 to Mar 25, 2021
- RAUM · $2.0B to $2.2BOct 6, 2020 to Mar 25, 2021
- Accounts · 11 to 38Mar 26, 2019 to Mar 26, 2020
- BD registered reps · 3 to 5Mar 26, 2019 to Mar 26, 2020
- Pooled vehicle clients · 3 to 1Mar 26, 2019 to Mar 26, 2020
- Discretionary RAUM · $893M to $2.0BMar 26, 2019 to Mar 26, 2020
- Pension RAUM · $436M to $530MMar 26, 2019 to Mar 26, 2020
Signals
6 dated events
- Louis Richard Sega (President And Global Chief Investment Strategist) no longer on Schedule A of G•••••• C•••••• A•••••••• I••• (listed 2023-08-04, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- Edward Michael Haylon (Head Of Conning North America) no longer on Schedule A of G•••••• C•••••• A•••••••• I••• (listed 2023-08-04, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- Kenneth Matthew Daly (Head Of Conning North America) appeared on Schedule A of G•••••• C•••••• A•••••••• I•••Oct 2, 2023 · Control person joined · fact
- G•••••• C•••••• A•••••••• I••• reported RAUM $1.0B, down 55% from $2.3B (2022-03-28 to 2022-09-20)Sep 20, 2022 · RAUM change · derived
- G•••••• C•••••• A•••••••• I••• reported RAUM $2.0B, up 128% from $892.7M (2019-03-26 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Edward Michael Haylon (Head Of Conning North America) appeared on Schedule A of G•••••• C•••••• A•••••••• I•••Mar 26, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/C••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-299-2000reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda 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