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•••••••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Feb 1, 2012 · 36 filings
SEC status approved since Feb 4, 1999
RAUM
$4.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.7%
$76.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$4.6B as of Apr 1, 2026
Feb 1, 2012$2.8B then
HNW client RAUM$76.8M as of Apr 1, 2026
Mar 30, 2018$18.1M then
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Feb 1, 20120 then
Employees (5.A)28 as of Apr 1, 2026
Apr 3, 201325 then
Private funds1 as of Mar 31, 2022
Feb 1, 20121 then
RAUM +25% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 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
- 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
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $69.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 84%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
- +25%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$2.7B59%
- Pension and profit-sharing plans$1.1B25%
- Pooled investment vehicles$362M7.9%
- Investment companies$312M6.8%
- High-net-worth individuals$76.8M1.7%
- Individual clients
- n/areported
- HNW clients
- 46reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 66reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $31.5M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.02 fund_share=0.15 institutional_share=0.84 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• I••••••••• T••••no longer reported | Other Private Fund | $36.4M | 3 | Feb 1, 2012 |
| C•••••••• L••••••••• F•••• L•no longer reported | Hedge Fund | $2.0M | 2 | Mar 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• G••••••• P•••• · Member, Common Unitscontrolsince 01/2013 · owns less than 5%
- B•••••• D•••••• P• · Co-Chief Investment Officercontrolsince 05/2020 · owns less than 5%
- B••••••••• C••••••••• J••• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- C••••••••• J••••• H• · Chief Legal Officercontrolsince 10/2004 · owns less than 5%
- C••••••••• J•••••• A• · Managing Member, Preferred And Commoncontrolsince 01/1999 · owns 50% to 75%
- H••••• J•••••• M• · Member, Preferred And Commoncontrolsince 01/2018 · owns less than 5%
- O••••••••• Q••••••• M•••••• · Member, Common Unitscontrolsince 01/2013 · owns less than 5%
- R••••• A••• · Member, Preferred And Commoncontrolsince 01/2018 · owns less than 5%
- S••••• J••••• A••••• · Member, Common Unitscontrolsince 01/2013 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••••• A••••••••• L••investment adviserpooled vehicle sponsornRAUM $8.2M
Advisers that list C•••••••• M••••••••• L•• as a related person
- 288893 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 61 to 66Aug 19, 2025 to Apr 1, 2026
- HNW clients · 41 to 46Aug 19, 2025 to Apr 1, 2026
- Discretionary RAUM · $4.0B to $4.6BAug 19, 2025 to Apr 1, 2026
- HNW RAUM · $70.0M to $76.8MAug 19, 2025 to Apr 1, 2026
- Pension RAUM · $578M to $1.1BAug 19, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $231M to $362MAug 19, 2025 to Apr 1, 2026
- RAUM · $4.0B to $4.6BAug 19, 2025 to Apr 1, 2026
- Wrap assets (manager) · $37.8M to $31.5MAug 19, 2025 to Apr 1, 2026
- Accounts · 56 to 61Mar 31, 2025 to May 8, 2025
- Pooled vehicle clients · 4 to 5Mar 31, 2025 to May 8, 2025
- Financial planning clients · unset to Mar 31, 2025 to May 8, 2025
- Discretionary RAUM · $3.7B to $4.0BMar 31, 2025 to May 8, 2025
- Pension RAUM · $458M to $578MMar 31, 2025 to May 8, 2025
- Pooled vehicle RAUM · $185M to $231MMar 31, 2025 to May 8, 2025
- RAUM · $3.7B to $4.0BMar 31, 2025 to May 8, 2025
- Accounts · 60 to 56Feb 3, 2025 to Mar 31, 2025
- Advisory employees · 21 to 18Feb 3, 2025 to Mar 31, 2025
- HNW clients · 46 to 41Feb 3, 2025 to Mar 31, 2025
- Pension plan clients · 4 to 3Feb 3, 2025 to Mar 31, 2025
- Pooled vehicle clients · 3 to 4Feb 3, 2025 to Mar 31, 2025
- Employees · 30 to 28Feb 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $3.1B to $3.7BFeb 3, 2025 to Mar 31, 2025
- HNW RAUM · $53.8M to $70.0MFeb 3, 2025 to Mar 31, 2025
- Pension RAUM · $496M to $458MFeb 3, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $111M to $185MFeb 3, 2025 to Mar 31, 2025
- RAUM · $3.1B to $3.7BFeb 3, 2025 to Mar 31, 2025
- Wrap assets (manager) · $16.7M to $37.8MFeb 3, 2025 to Mar 31, 2025
- Accounts · 40 to 60Jan 22, 2024 to Mar 23, 2024
- Advisory activities · 3 to 4Jan 22, 2024 to Mar 23, 2024
- HNW clients · 24 to 46Jan 22, 2024 to Mar 23, 2024
- Pension plan clients · 5 to 4Jan 22, 2024 to Mar 23, 2024
- Employees · 29 to 30Jan 22, 2024 to Mar 23, 2024
- Discretionary RAUM · $2.8B to $3.1BJan 22, 2024 to Mar 23, 2024
- HNW RAUM · $30.5M to $53.8MJan 22, 2024 to Mar 23, 2024
- Pension RAUM · $452M to $496MJan 22, 2024 to Mar 23, 2024
- Pooled vehicle RAUM · $109M to $111MJan 22, 2024 to Mar 23, 2024
- RAUM · $2.8B to $3.1BJan 22, 2024 to Mar 23, 2024
- Wrap assets (manager) · $6.7M to $16.7MJan 22, 2024 to Mar 23, 2024
- Accounts · 34 to 40Jan 6, 2023 to Mar 30, 2023
- Advisory employees · 24 to 21Jan 6, 2023 to Mar 30, 2023
Signals
10 dated events
- Satoru Robert Takazawa (Member, Preferred And Common) no longer on Schedule A of C•••••••• M••••••••• L•• (listed 2024-01-22, absent 2024-03-23)Mar 23, 2024 · Control person left · inference
- John Christopher Brancazio (Chief Compliance Officer) appeared on Schedule A of C•••••••• M••••••••• L••Jan 22, 2024 · Control person joined · fact
- J Richard Simek (Chief Compliance Officer) no longer on Schedule A of C•••••••• M••••••••• L•• (listed 2023-03-30, absent 2024-01-22)Jan 22, 2024 · Control person left · inference
- M Kevin Dolsen (Member, Preferred And Common) no longer on Schedule A of C•••••••• M••••••••• L•• (listed 2020-04-30, absent 2020-06-08)Jun 8, 2020 · Control person left · inference
- P Daniel Becker (Executive Officer) appeared on Schedule A of C•••••••• M••••••••• L••Jun 8, 2020 · Control person joined · fact
- Kathryn Joan Rockey (Member, Preferred And Common) no longer on Schedule A of C•••••••• M••••••••• L•• (listed 2019-03-30, absent 2020-04-30)Apr 30, 2020 · Control person left · inference
- Ajoy Reddi (Member, Preferred And Common) appeared on Schedule A of C•••••••• M••••••••• L••Mar 30, 2019 · Control person joined · fact
- M J••••• H•••• (Member, Preferred And Common) appeared on Schedule A of C•••••••• M••••••••• L••Mar 30, 2019 · Control person joined · fact
- Michael Quentin Ostrowski (Member, Common Units) appeared on Schedule A of C•••••••• M••••••••• L••Mar 30, 2019 · Control person joined · fact
- Peter Gregory Baxter (Member, Common Units) appeared on Schedule A of C•••••••• M••••••••• L••Mar 30, 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
- Website
- C••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-456-9682reportedpublic record, Form ADV, Apr 1, 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