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•••• C•••••• P•••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 109272SEC 801-58121IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$300M
reported, Item 5.F
Discretionary
0.0%
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$300M as of Mar 31, 2023
Mar 30, 2012$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 27, 20135 then
Employees (5.A)5 as of Mar 31, 2023
Mar 27, 201327 then
Private funds3 as of Mar 27, 2013
Mar 30, 20123 then
RAUM -3.5% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$300MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-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 businesses and institutions, 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
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$300M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• U•••• I••••••••• L••no longer reportedReal Estate Fund$1.1B10Mar 30, 2012
      C•••• C•••••• A••••••• A•••••••• F••• I••• L•••no longer reportedReal Estate Fund$467M5Mar 30, 2012
      C•••• S••••• I••••• I•• L••no longer reportedReal Estate Fund$349M17Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• B••••• C•••••• · M•••••control
        since 08/2000 · owns less than 5%
      • P••••• Q••••••• E••••••• · M•••••, Founder, Chairman And Chief Compliance Officercontrol
        since 08/2000 · owns 25% to 50%
      • S••••• D••••• R••••• · President And Chief Executive Officercontrol
        since 03/2022 · owns less than 5%
      • C••••••• S••••• · Chief Executive Officercontrol
        since 07/2014 · owns 75% or more of C•••••• R••• E••••• E••••• L••
      • P••••• D••••• I••••• · Trusteecontrol
        since 12/2012 · owns 75% or more of P•••• 2••• D••••••••• G••• T••••
      • P••••• Q••••••• E••••••• · M•••••control
        since 12/2010 · owns 50% to 75% of P•••• I•••••••• L••
      • P•••••• S•••••• E•••• L••• · M•••••control
        since 06/2014 · owns 75% or more of E•• C•• M•••••• L••
      • S••••• D••••• R••••• · M•••••control
        since 01/2022 · owns F of C•••• I•••••••• L••
      • E••••• S••••• · Chief Financial Officer
        since 01/2022 · owns less than 5%
      • J•••••••• M•••• J•••• · M•••••
        since 11/2019 · owns 5% to 10%
      Entity owners
      • C•••• C•••••• P•••••••• L•• · M•••••, C•••• E••• L••
        direct · owns 50% to 75%
      • C•••• I•••••••• L•• · M•••••
        direct · owns 25% to 50%
      • C•••••• R••• E••••• E••••• L•• · M•••••
        direct · owns less than 5%
      • E•• C•• M•••••• L•• · M•••••
        direct · owns less than 5%
      • I••••••••• H••••••• I••• L•• · M•••••
        direct · owns 25% to 50%
      • D••••• G••••• L•• · M•••••
        indirect · owns 75% or more of C•••• C•••••• P•••••••• L••
      • P•••• 2••• D••••••••• G••• T•••• · M•••••
        indirect · owns 25% to 50% of P•••• I•••••••• L••
      • P•••• I•••••••• L•• · M•••••
        indirect · owns 75% or more of C•••• I•••••••• L••
      • S••• • S•••• T•••••••• O• T•• S•••• O• M••••••• A• C•••••••• F•• S•••••• M••••••• P•••••• F•••• · M•••••
        indirect · owns 75% or more of D••••• G••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C•••• C•••••• P•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Advisory employees · 3 to 4
        Mar 31, 2022 to Mar 31, 2023
      • Advisory activities · 3 to 2
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 2.0 to unset
        Mar 31, 2022 to Mar 31, 2023
      • Assets in custody · 10898018.0 to unset
        Mar 31, 2022 to Mar 31, 2023
      • Custody of client assets · true to false
        Mar 31, 2022 to Mar 31, 2023
      • Employees · 4 to 5
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $10.9M to $0
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · 10898018.0 to unset
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $311M to $300M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 2 to 3
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 2 to 3
        Mar 31, 2021 to Mar 31, 2022
      • Advisory activities · 1 to 3
        Mar 31, 2021 to Mar 31, 2022
      • Corporate clients · unset to 1.0
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · $130M to $10.9M
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 3 to 4
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $130M to $10.9M
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $0 to $300M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $130M to $10.9M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $130M to $311M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 4 to 2
        Jan 29, 2021 to Mar 31, 2021
      • Advisory activities · 2 to 1
        Jan 29, 2021 to Mar 31, 2021
      • Assets in custody · $161M to $130M
        Jan 29, 2021 to Mar 31, 2021
      • Employees · 6 to 3
        Jan 29, 2021 to Mar 31, 2021
      • Discretionary RAUM · $160M to $130M
        Jan 29, 2021 to Mar 31, 2021
      • Non-discretionary RAUM · $267,865 to $0
        Jan 29, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $160M to $130M
        Jan 29, 2021 to Mar 31, 2021
      • RAUM · $161M to $130M
        Jan 29, 2021 to Mar 31, 2021
      • Accounts · unset to 4.0
        Jan 14, 2020 to Mar 30, 2020
      • Advisory activities · 4 to 2
        Jan 14, 2020 to Mar 30, 2020
      • Pension plan clients · 1.0 to unset
        Jan 14, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 1 to 2
        Jan 14, 2020 to Mar 30, 2020
      • Assets in custody · $18.6M to $161M
        Jan 14, 2020 to Mar 30, 2020
      • Employees · 8 to 6
        Jan 14, 2020 to Mar 30, 2020
      • Financial planning clients · 1-10 to unset
        Jan 14, 2020 to Mar 30, 2020
      • Other offices · 1 to 0
        Jan 14, 2020 to Mar 30, 2020
      • Discretionary RAUM · unset to 160472913.0
        Jan 14, 2020 to Mar 30, 2020
      • Non-discretionary RAUM · unset to 267865.0
        Jan 14, 2020 to Mar 30, 2020
      • Pension RAUM · 0.0 to unset
        Jan 14, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $0 to $160M
        Jan 14, 2020 to Mar 30, 2020
      Signals
      11 dated events
      • C•••• C•••••• P•••••••• L•• reported RAUM $310.9M, up 139% from $129.9M (2021-03-31 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Laverne Gwendolyn Hatten Butler (Member, President, Chief Investment Officer) no longer on Schedule A of C•••• C•••••• P•••••••• L•• (listed 2021-03-31, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Elizabeth Ann Mastic (Member, Chief Financial Officer) no longer on Schedule A of C•••• C•••••• P•••••••• L•• (listed 2021-03-31, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Rafael Dawil Sully (President And Chief Executive Officer) appeared on Schedule A of C•••• C•••••• P•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Bryant Paul Edwards (Member) no longer on Schedule A of C•••• C•••••• P•••••••• L•• (listed 2021-01-29, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Castagno Dori Nolan (Member) no longer on Schedule A of C•••• C•••••• P•••••••• L•• (listed 2019-03-29, absent 2020-01-14)
        Jan 14, 2020 · Control person left · inference
      • J•••• L•••• (Member) no longer on Schedule A of C•••• C•••••• P•••••••• L•• (listed 2019-03-29, absent 2020-01-14)
        Jan 14, 2020 · Control person left · inference
      • J••••••• S•••••• H•••• (Chief Compliance Officer) no longer on Schedule A of C•••• C•••••• P•••••••• L•• (listed 2019-03-29, absent 2020-01-14)
        Jan 14, 2020 · Control person left · inference
      • S••••• V••••••••• (Chief Operating Officer) no longer on Schedule A of C•••• C•••••• P•••••••• L•• (listed 2019-03-29, absent 2020-01-14)
        Jan 14, 2020 · Control person left · inference
      • J••••••• S•••••• H•••• (Chief Compliance Officer) appeared on Schedule A of C•••• C•••••• P•••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • S••••• V••••••••• (Chief Operating Officer) appeared on Schedule A of C•••• C•••••• P•••••••• L••
        Mar 29, 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.
      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•••• C•••••• P•••••••• 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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