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•••••• E••••• P•••••••

Former SEC-registered adviserC••••••, IllinoisCRD 109421SEC 801-57280IAPD
Legal name C•••••• E••••• P••••••• L••
Latest filing Apr 17, 2020
First filing on the tape Mar 5, 2012 · 23 filings
RAUM
$5.1B
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
37
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$44.2M gross assets
History
23 filings and snapshots on the tape
RAUM$5.1B as of Mar 27, 2020
Mar 5, 2012$8.6B then
HNW client RAUM$8.4M as of Mar 29, 2019
Mar 30, 2018$33.0M then
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Jan 31, 20130 then
Employees (5.A)37 as of Mar 27, 2020
Jan 31, 201342 then
Private funds2 as of Mar 27, 2020
Jan 31, 20132 then
RAUM -15% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 17, 2020; 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
$46.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
83%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
-15%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-based, otherreportedItem 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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$2.6B50%
  • Charitable organizations$855M17%
  • State and municipal entities$816M16%
  • Investment companies$540M11%
  • Banks and thrifts$155M3.0%
  • Pooled investment vehicles$92.2M1.8%
  • Corporations and businesses$60.5M1.2%
  • Insurance companies$17.9M0.4%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
12reported
Charitable clients
27reported
Accounts
110reported
Financial planning clients
0reported
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•••••• E••••• P••••••• G•••• T••••no longer reportedOther Private Fund$289M1Jan 31, 2013
      C•• E••••• M••••• N•••••• M••••• F••• L•••Hedge Fund$43.1M14Jan 31, 2013
      C•• E••••••• M•••••• E••••• F••• L••Other Private Fund$1.1M2Nov 25, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• K••••• E••• · Management Committee Member & Co-Chief Investment Officer - Equitycontrol
        since 10/2019 · owns less than 5%
      • K•••••• R•••••• H•••• · Management Committee Member & Co-Chief Investment Officer - Equitycontrol
        since 12/2006 · owns 5% to 10%
      • L••••• P••••••• C•••••••• · Management Committee Member & Presidentcontrol
        since 12/2006 · owns 5% to 10%
      • M•••••••• C•••• A••• · Management Committee Member & Chief Investment Officer - Fixed Incomecontrol
        since 01/2016 · owns less than 5%
      • N•••••• R•••••• A••• · Chief Compliance Officer
        since 09/2014 · owns less than 5%
      Entity owners
      • A••••••••• M••••••• G••••• I•• · Shareholder
        indirect · owns 75% or more of Amg/M•••••• Holdings Inc. · public reporting company
      • A•• • M•••••• H•••••••• I••• · Sole Member And Manager
        indirect · owns 75% or more of C•••••• A••••••••• L••
      • C•••••• A••••••••• L•• · Managing Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 130 to 110
        Nov 25, 2019 to Mar 27, 2020
      • Advisory employees · 19 to 18
        Nov 25, 2019 to Mar 27, 2020
      • BD registered reps · 3 to 2
        Nov 25, 2019 to Mar 27, 2020
      • Charity clients · 28 to 27
        Nov 25, 2019 to Mar 27, 2020
      • HNW clients · unset to 0.0
        Nov 25, 2019 to Mar 27, 2020
      • Pension plan clients · 16 to 12
        Nov 25, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 3 to 5
        Nov 25, 2019 to Mar 27, 2020
      • Employees · 39 to 37
        Nov 25, 2019 to Mar 27, 2020
      • Discretionary RAUM · $6.0B to $5.1B
        Nov 25, 2019 to Mar 27, 2020
      • HNW RAUM · 8399387.0 to unset
        Nov 25, 2019 to Mar 27, 2020
      • Pension RAUM · $2.5B to $2.6B
        Nov 25, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $104M to $92.2M
        Nov 25, 2019 to Mar 27, 2020
      • RAUM · $6.0B to $5.1B
        Nov 25, 2019 to Mar 27, 2020
      • Private funds · 1 to 2
        Mar 29, 2019 to Nov 25, 2019
      • Accounts · 151 to 130
        Sep 11, 2018 to Mar 29, 2019
      • Advisory employees · 18 to 19
        Sep 11, 2018 to Mar 29, 2019
      • Charity clients · 34 to 28
        Sep 11, 2018 to Mar 29, 2019
      • Pension plan clients · 21 to 16
        Sep 11, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 3
        Sep 11, 2018 to Mar 29, 2019
      • Employees · 38 to 39
        Sep 11, 2018 to Mar 29, 2019
      • Discretionary RAUM · $7.2B to $6.0B
        Sep 11, 2018 to Mar 29, 2019
      • HNW RAUM · $33.0M to $8.4M
        Sep 11, 2018 to Mar 29, 2019
      • Pension RAUM · $2.9B to $2.5B
        Sep 11, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $73.0M to $104M
        Sep 11, 2018 to Mar 29, 2019
      • RAUM · $7.2B to $6.0B
        Sep 11, 2018 to Mar 29, 2019
      • Accounts · 165 to 151
        May 2, 2017 to Mar 30, 2018
      • Advisory employees · 17 to 18
        May 2, 2017 to Mar 30, 2018
      • Charity clients · unset to 34.0
        May 2, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        May 2, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 21.0
        May 2, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        May 2, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 2, 2017 to Mar 30, 2018
      • Discretionary RAUM · $9.1B to $7.2B
        May 2, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 33016795.0
        May 2, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 2940538926.0
        May 2, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 73048874.0
        May 2, 2017 to Mar 30, 2018
      • RAUM · $9.1B to $7.2B
        May 2, 2017 to Mar 30, 2018
      • Accounts · 185 to 165
        Aug 5, 2016 to Mar 30, 2017
      • Advisory employees · 18 to 17
        Aug 5, 2016 to Mar 30, 2017
      • BD registered reps · 2 to 3
        Aug 5, 2016 to Mar 30, 2017
      Signals
      1 dated events
      • Ann Patricia Halper (Management Committee Member & Co-Chief Investment Officer - Equity) no longer on Schedule A of C•••••• E••••• P••••••• (listed 2019-03-29, absent 2019-11-25)
        Nov 25, 2019 · Control person left · inference
      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