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
M••••• C•••••• A•••••••• L••
Latest filing Mar 1, 2023
First filing on the tape Mar 27, 2012 · 28 filings
RAUM
$712M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$712M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$712M as of Mar 21, 2022
Mar 27, 2012$441M then
HNW client RAUM$698M as of Mar 21, 2022
Mar 23, 2018$562M then
State-registered IARs (5.B.3)2 as of Mar 21, 2022
Mar 28, 20132 then
Employees (5.A)5 as of Mar 21, 2022
Mar 28, 20134 then
Private funds: 1
RAUM +9.7% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
- RAUM per advisor
- $356MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.3MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $685M, 179 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$698M98%
- Individuals$14.7M2.1%
- Individual clients
- 42reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 182reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $685M for 179 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• R••••• F••• L•no longer reported | Hedge Fund | $6.0M | 17 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••••• J••• · Managing Directorcontrolsince 12/2000 · owns less than 5%
- N•••••••• L••••• T•••••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- W••• M••••••• D•••• · Managing Directorcontrolsince 12/2000 · owns less than 5%
- L•••••••• K•••••••• L••• · Director Of Operationssince 01/2015 · owns less than 5%
Entity owners
- C• P•••••• W•••••• L•• · Ownerdirect · owns 75% or more
- C• F•••••••• C••• · Ownerindirect · owns 75% or more of C• U• H••••••• I•• · public reporting company
- C• U• H••••••• I•• · Ownerindirect · owns 75% or more of C••• H•••••••• L••
- C••• H•••••••• L•• · Ownerindirect · owns 75% or more of C• P•••••• W•••••• L••
Related persons
Schedule D 7.A
- Corientinvestment adviseryRAUM $165B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 21, 2022 to Nov 7, 2022
- HNW clients · 110 to 84Jan 26, 2022 to Mar 21, 2022
- Individual clients · 72 to 42Jan 26, 2022 to Mar 21, 2022
- Assets in custody · $628M to $685MJan 26, 2022 to Mar 21, 2022
- Discretionary RAUM · $619M to $685MJan 26, 2022 to Mar 21, 2022
- HNW RAUM · $621M to $698MJan 26, 2022 to Mar 21, 2022
- Individual RAUM · $19.4M to $14.7MJan 26, 2022 to Mar 21, 2022
- Non-discretionary RAUM · $21.3M to $27.3MJan 26, 2022 to Mar 21, 2022
- RAUM · $640M to $712MJan 26, 2022 to Mar 21, 2022
- Succession · false to trueJun 3, 2021 to Jan 26, 2022
- Succession · true to falseJan 26, 2022 to Jan 26, 2022
- Discretionary RAUM · $628M to $619MMar 17, 2021 to May 21, 2021
- HNW RAUM · $630M to $621MMar 17, 2021 to May 21, 2021
- RAUM · $649M to $640MMar 17, 2021 to May 21, 2021
- Accounts · 188 to 182Jun 26, 2020 to Mar 17, 2021
- HNW clients · 90 to 110Jun 26, 2020 to Mar 17, 2021
- Individual clients · 48 to 72Jun 26, 2020 to Mar 17, 2021
- Assets in custody · $576M to $628MJun 26, 2020 to Mar 17, 2021
- Discretionary RAUM · $576M to $628MJun 26, 2020 to Mar 17, 2021
- HNW RAUM · $572M to $630MJun 26, 2020 to Mar 17, 2021
- Individual RAUM · $18.7M to $19.4MJun 26, 2020 to Mar 17, 2021
- Non-discretionary RAUM · $13.9M to $21.3MJun 26, 2020 to Mar 17, 2021
- RAUM · $590M to $649MJun 26, 2020 to Mar 17, 2021
- Accounts · 177 to 188Mar 18, 2019 to Mar 26, 2020
- Advisory employees · 6 to 5Mar 18, 2019 to Mar 26, 2020
- HNW clients · 83 to 90Mar 18, 2019 to Mar 26, 2020
- Individual clients · 33 to 48Mar 18, 2019 to Mar 26, 2020
- Assets in custody · $520M to $576MMar 18, 2019 to Mar 26, 2020
- Employees · 6 to 5Mar 18, 2019 to Mar 26, 2020
- Discretionary RAUM · $520M to $576MMar 18, 2019 to Mar 26, 2020
- HNW RAUM · $516M to $572MMar 18, 2019 to Mar 26, 2020
- Individual RAUM · $13.5M to $18.7MMar 18, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $9.6M to $13.9MMar 18, 2019 to Mar 26, 2020
- RAUM · $530M to $590MMar 18, 2019 to Mar 26, 2020
- Accounts · 178 to 177Mar 23, 2018 to Mar 18, 2019
- HNW clients · 84 to 83Mar 23, 2018 to Mar 18, 2019
- Individual clients · 46 to 33Mar 23, 2018 to Mar 18, 2019
- Assets in custody · $463M to $520MMar 23, 2018 to Mar 18, 2019
- Financial planning clients · unset to 0Mar 23, 2018 to Mar 18, 2019
- Discretionary RAUM · $463M to $520MMar 23, 2018 to Mar 18, 2019
Signals
2 dated events
- Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of M••••• C•••••• A•••••••• L••Feb 9, 2023 · Control person joined · fact
- M••••• C•••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 26, 2022 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- M••••• C•••••• A•••••••• L•• · Private Equityshared crd · intermediary
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