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•••••••• M••••••••• G••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 109651SEC 801-4211websiteIAPD
Legal name C•••••••• M••••••••• C•••
Latest filing Jul 3, 2025
First filing on the tape Jan 30, 2012 · 254 filings
SEC status approved since Feb 15, 1967
RAUM
$10B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
91%
$9.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
42 advisory (5.B.1)
Offices
85
beyond the principal office
Private funds
0
reported on Schedule D
History
254 filings and snapshots on the tape
RAUM$10B as of Jul 3, 2025
Jan 30, 2012$2.7B then
HNW client RAUM$8.6B as of Jul 3, 2025
Jan 11, 2018$4.1B then
State-registered IARs (5.B.3)38 as of Jul 3, 2025
Dec 10, 201224 then
Employees (5.A)55 as of Jul 3, 2025
Dec 10, 201237 then
Private funds3 as of Jun 6, 2025
Jan 30, 20122 then
RAUM +22% over the last fiscal year+8.4% a year over threeIARs 38 to 38
Practice profile
derived from the filing of Jul 3, 2025; every figure names its basis
RAUM per advisor
$265MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
183derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$491,874derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
0.4derived86 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.6%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Wrap fee program
participatesreportedItem 5.I
Custody
$1.3B, 1,447 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • High-net-worth individuals$8.6B87%
  • Individuals$606M6.1%
  • Pension and profit-sharing plans$268M2.7%
  • Corporations and businesses$259M2.6%
  • Pooled investment vehicles$65.8M0.7%
  • Charitable organizations$55.7M0.6%
Individual clients
1,556reported
HNW clients
5,392reported
Pension plan clients
263reported
Charitable clients
33reported
Accounts
20,501reported
Financial planning clients
1,000reported
Wrap fee programs
$0 sponsored, $350M managedreported
Custody of client assets
$1.3B for 1,447 clientsreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
3 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
C•••••••• F••••• E•• F•••• L•Hedge Fund$26.5M7Oct 14, 2015
C•••••••• F••••• F•••• T••Hedge Fund$18.1M30Jan 30, 2012
C•••••••• F••••• F•••• L•Hedge Fund$12.4M30Jan 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • C•••••• C••••••• R•••••• · President, Directorcontrol
    since 01/2002 · owns less than 5%
  • F•••• F•••• A••••• · Ceo, Directorcontrol
    since 12/1966 · owns less than 5%
  • F•••• S•••••• B•••••• · Directorcontrol
    since 01/1967 · owns less than 5%
  • F•••• T•••••••• L•••• · Chief Compliance Officer, Exec. V.P., Directorcontrol
    since 12/1996 · owns less than 5%
  • H•••••• E•••••• A••••••• · Executive V.P., Chief Financial Officer, Secretary, Directorcontrol
    since 03/1971 · owns less than 5%
  • K••••• N•••••• S•••••• · Shareholder
    since 12/1969 · owns 5% to 10%
Entity owners
  • C• R•••• C••••• A• T•••••• O• T•• V••••• T•••• A•••••••• D•• 8•••••••• · Shareholder
    direct · owns 50% to 75%
  • F••• A• F••• I••••••••• T•••• F•• C•••••• R• C••••• D•• 1••••••••• · Shareholder
    direct · owns 5% to 10%
  • M••• A•• E••••• H••••• T•••• D•• 1•••••••• · Shareholder
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
  • C•••••••• F••••• C••••••••• N••••• L••
    pooled vehicle sponsorn
  • C•••••••• F••••• C••••••••• L••
    pooled vehicle sponsorn
  • C•••••••• F••••• F•••••• P••••• L••
    pooled vehicle sponsorn
  • C•••••••• F••••• G••••••• L••
    pooled vehicle sponsorn
  • C•••••••• F••••• O•••••• L••
    pooled vehicle sponsorn
  • C•••••••• F••••• P••••••• L••
    pooled vehicle sponsorn
  • C•••••••• F••••• P••••••••• L••
    pooled vehicle sponsorn
  • C•••••••• P••••••••• I•••
    investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
F•••••S, In000
M••••••S, Nc000
Offices
Schedule D 1.F, the 25 largest
  • San Francisco, CA3 employees
  • Austin, TX1 employees
  • Beachwood, OH1 employees
  • Beaverton, OR1 employees
  • Birmingham, AL1 employees
  • Bloomfield Hills, MI1 employees
  • Bluffton, SC1 employees
  • Boca Raton, FL1 employees
  • Boston, MA1 employees
  • Cary, NC1 employees
  • Charlotte, NC1 employees
  • Chicago, IL1 employees
  • Cincinnati, OH1 employees
  • Dallas, TX1 employees
  • Denver, CO1 employees
  • Eagen, MN1 employees
  • Henderson, NV1 employees
  • Houston, TX1 employees
  • Indianapolis, IN1 employees
  • Irvine, CA1 employees
  • J••••••Ville, FL1 employees
  • Kansas City, MO1 employees
  • Las Vegas, NV1 employees
  • L••••Ville, KY1 employees
  • Melville, NY1 employees
What changed
consecutive filings, newest first
  • Financial planning clients · More than 500 to More than 500
    Jun 6, 2025 to Jul 3, 2025
  • Private funds · 3 to unset
    Jun 6, 2025 to Jul 3, 2025
  • Accounts · 19,450 to 20,501
    Nov 20, 2024 to Jan 30, 2025
  • Charity clients · 32 to 33
    Nov 20, 2024 to Jan 30, 2025
  • Corporate clients · 125 to 126
    Nov 20, 2024 to Jan 30, 2025
  • HNW clients · 5,071 to 5,392
    Nov 20, 2024 to Jan 30, 2025
  • Individual clients · 1,506 to 1,556
    Nov 20, 2024 to Jan 30, 2025
  • Pension plan clients · 270 to 263
    Nov 20, 2024 to Jan 30, 2025
  • Assets in custody · $366M to $1.3B
    Nov 20, 2024 to Jan 30, 2025
  • Employees · 56 to 55
    Nov 20, 2024 to Jan 30, 2025
  • Discretionary RAUM · $8.1B to $9.9B
    Nov 20, 2024 to Jan 30, 2025
  • HNW RAUM · $7.0B to $8.6B
    Nov 20, 2024 to Jan 30, 2025
  • Individual RAUM · $539M to $606M
    Nov 20, 2024 to Jan 30, 2025
  • Non-discretionary RAUM · $143M to $222M
    Nov 20, 2024 to Jan 30, 2025
  • Pension RAUM · $225M to $268M
    Nov 20, 2024 to Jan 30, 2025
  • Pooled vehicle RAUM · $57.0M to $65.8M
    Nov 20, 2024 to Jan 30, 2025
  • RAUM · $8.2B to $10B
    Nov 20, 2024 to Jan 30, 2025
  • Wrap assets (manager) · $253M to $350M
    Nov 20, 2024 to Jan 30, 2025
  • Advisory employees · 43 to 42
    Oct 18, 2023 to Jan 19, 2024
  • Charity clients · 34 to 32
    Oct 18, 2023 to Jan 19, 2024
  • Accounts · 19,055 to 19,450
    Oct 18, 2023 to Jan 19, 2024
  • Corporate clients · 131 to 125
    Oct 18, 2023 to Jan 19, 2024
  • HNW clients · 4,851 to 5,071
    Oct 18, 2023 to Jan 19, 2024
  • Individual clients · 1,488 to 1,506
    Oct 18, 2023 to Jan 19, 2024
  • Pension plan clients · 267 to 270
    Oct 18, 2023 to Jan 19, 2024
  • Assets in custody · $645M to $366M
    Oct 18, 2023 to Jan 19, 2024
  • Employees · 59 to 56
    Oct 18, 2023 to Jan 19, 2024
  • State-registered IARs · 35 to 38
    Oct 18, 2023 to Jan 19, 2024
  • Other offices · 83 to 85
    Oct 18, 2023 to Jan 19, 2024
  • Discretionary RAUM · $7.0B to $8.1B
    Oct 18, 2023 to Jan 19, 2024
  • HNW RAUM · $6.0B to $7.0B
    Oct 18, 2023 to Jan 19, 2024
  • Individual RAUM · $494M to $539M
    Oct 18, 2023 to Jan 19, 2024
  • Non-discretionary RAUM · $123M to $143M
    Oct 18, 2023 to Jan 19, 2024
  • Pension RAUM · $202M to $225M
    Oct 18, 2023 to Jan 19, 2024
  • Pooled vehicle RAUM · $57.1M to $57.0M
    Oct 18, 2023 to Jan 19, 2024
  • RAUM · $7.2B to $8.2B
    Oct 18, 2023 to Jan 19, 2024
  • Wrap assets (manager) · $209M to $253M
    Oct 18, 2023 to Jan 19, 2024
  • Accounts · 18,036 to 19,055
    Jan 3, 2023 to Jan 20, 2023
  • Advisory activities · 3 to 4
    Jan 3, 2023 to Jan 20, 2023
  • Charity clients · 36 to 34
    Jan 3, 2023 to Jan 20, 2023
Signals
10 dated events
  • C•••••••• M••••••••• G•••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $10.1B)
    Dec 20, 2025 · Left the SEC roster · derived
  • B•••• M•••••• B••• left C•••••••• M••••••••• G•••• for F•••• P••••••• W•••••• L•• (registered 2025-07-01)
    Aug 26, 2025 · a•••••• firm change · fact
  • N••••••• A••••• B•••••• left C•••••••• M••••••••• G•••• for P••• A••••• S••••••••• L•• (registered 2026-02-11)
    Aug 1, 2024 · a•••••• firm change · fact
  • C•••••••• M••••••••• G•••• reported 83 offices beyond its principal office, up from 77 (2023-01-03 to 2023-01-20)
    Jan 20, 2023 · Office count change · derived
  • G•••••• G•••• left C•••••••• M••••••••• G•••• for V••••••• A•••••••• I••• (registered 2•••-06-28)
    2•••-06-01 · a•••••• firm change · fact
  • C•••••••• M••••••••• G•••• reported 77 offices beyond its principal office, up from 66 (2•••-12-15 to 2•••-01-28)
    2•••-01-28 · Office count change · derived
  • C•••••••• M••••••••• G•••• reported 66 offices beyond its principal office, up from 33 (2•••-01-04 to 2•••-01-27)
    2•••-01-27 · Office count change · derived
  • C•••••••• M••••••••• G•••• reported 33 offices beyond its principal office, down from 38 (2019-12-19 to 2020-01-22)
    Jan 22, 2020 · Office count change · derived
  • C•••••••• M••••••••• G•••• reported 38 offices beyond its principal office, up from 30 (2019-05-08 to 2019-05-09)
    May 9, 2019 · Office count change · derived
  • C•••••••• M••••••••• G•••• reported 43 state-registered advisory representatives, up from 27 (2018-12-13 to 2019-01-25)
    Jan 25, 2019 · ria a•••••• headcount change · derived
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