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•••••• M••••••••• L••

Former SEC-registered adviserGreenville, DelawareCRD 109955SEC 801-60044IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 28, 2012 · 23 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$924M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 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$1.3B as of Mar 31, 2022
Mar 28, 2012$569M then
HNW client RAUM$885M as of Mar 31, 2022
Mar 29, 2018$625M then
State-registered IARs (5.B.3)5 as of Mar 31, 2022
Mar 28, 20120 then
Employees (5.A)11 as of Mar 31, 2022
Mar 25, 20139 then
Private funds: no history
RAUM +6.5% over the last fiscal year+10% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$256MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.4MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.4%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$48.7M, 20 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$885M69%
  • Banks and thrifts$258M20%
  • Charitable organizations$46.7M3.7%
  • Individuals$39.7M3.1%
  • Corporations and businesses$20.9M1.6%
  • Other investment advisers$15.0M1.2%
  • Pension and profit-sharing plans$13.7M1.1%
Individual clients
87reported
HNW clients
139reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
642reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$48.7M for 20 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• A•••••• J••• · C•••••• Capital Management-Board Membercontrol
      since 08/2018 · owns less than 5%
    • G•••••• H•••••••• R••••••• · Chief Compliance Officercontrol
      since 02/2020 · owns less than 5%
    • M••••••••• R••••••• J••••• · Board Membercontrol
      since 03/2016 · owns less than 5%
    • M••••• J••••••• D• · Chief Investment Officercontrol
      since 03/2022 · owns less than 5%
    • P•••••••• S•••••• · C•••••• Capital Management-Board Membercontrol
      since 09/2019 · owns less than 5%
    • S••••••• R•••••• V•••••• · C•••••• Capital Management - Board Membercontrol
      since 02/2020 · owns less than 5%
    • W•••••••• K••••• A•• · President And Board Membercontrol
      since 09/2004 · owns less than 5%
    Entity owners
    • W••• F•••••••• C••••••••• · Shareholder
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    • B••• M••• T•••• C•••••• O• D•••••••
      n
    • W••••••••• S•••••• F••• S•••••• F••
      n
    • B••• M••• T•••• A•••••••• L••
      investment advisernRAUM $3.5B
    • W••• W••••• M••••••••• L••
      investment advisern
    Advisers that list C•••••• C•••••• M••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 649 to 642
      Mar 25, 2021 to Mar 31, 2022
    • Charity clients · 16.0 to unset
      Mar 25, 2021 to Mar 31, 2022
    • Corporate clients · unset to 9.0
      Mar 25, 2021 to Mar 31, 2022
    • HNW clients · 133 to 139
      Mar 25, 2021 to Mar 31, 2022
    • Individual clients · 94 to 87
      Mar 25, 2021 to Mar 31, 2022
    • Assets in custody · $45.4M to $48.7M
      Mar 25, 2021 to Mar 31, 2022
    • Discretionary RAUM · $1.2B to $1.3B
      Mar 25, 2021 to Mar 31, 2022
    • HNW RAUM · $754M to $885M
      Mar 25, 2021 to Mar 31, 2022
    • Individual RAUM · $43.1M to $39.7M
      Mar 25, 2021 to Mar 31, 2022
    • Pension RAUM · $12.1M to $13.7M
      Mar 25, 2021 to Mar 31, 2022
    • RAUM · $1.2B to $1.3B
      Mar 25, 2021 to Mar 31, 2022
    • Accounts · 643 to 649
      Jan 7, 2021 to Mar 25, 2021
    • Charity clients · 15 to 16
      Jan 7, 2021 to Mar 25, 2021
    • HNW clients · 131 to 133
      Jan 7, 2021 to Mar 25, 2021
    • Individual clients · 95 to 94
      Jan 7, 2021 to Mar 25, 2021
    • Assets in custody · $35.1M to $45.4M
      Jan 7, 2021 to Mar 25, 2021
    • Employees · 10 to 11
      Jan 7, 2021 to Mar 25, 2021
    • State-registered IARs · 6 to 5
      Jan 7, 2021 to Mar 25, 2021
    • Discretionary RAUM · $1.2B to $1.2B
      Jan 7, 2021 to Mar 25, 2021
    • HNW RAUM · $836M to $754M
      Jan 7, 2021 to Mar 25, 2021
    • Individual RAUM · $49.3M to $43.1M
      Jan 7, 2021 to Mar 25, 2021
    • Pension RAUM · $10.8M to $12.1M
      Jan 7, 2021 to Mar 25, 2021
    • RAUM · $1.2B to $1.2B
      Jan 7, 2021 to Mar 25, 2021
    • Insurance-licensed employees · 0 to 1
      Jun 26, 2020 to Jul 8, 2020
    • Accounts · 635 to 643
      Feb 28, 2020 to Mar 26, 2020
    • Charity clients · 12 to 15
      Feb 28, 2020 to Mar 26, 2020
    • HNW clients · 108 to 131
      Feb 28, 2020 to Mar 26, 2020
    • Individual clients · 106 to 95
      Feb 28, 2020 to Mar 26, 2020
    • Pension plan clients · 5.0 to unset
      Feb 28, 2020 to Mar 26, 2020
    • Assets in custody · $314M to $35.1M
      Feb 28, 2020 to Mar 26, 2020
    • Discretionary RAUM · $949M to $1.2B
      Feb 28, 2020 to Mar 26, 2020
    • HNW RAUM · $648M to $836M
      Feb 28, 2020 to Mar 26, 2020
    • Individual RAUM · $47.3M to $49.3M
      Feb 28, 2020 to Mar 26, 2020
    • Pension RAUM · $10.5M to $10.8M
      Feb 28, 2020 to Mar 26, 2020
    • RAUM · $949M to $1.2B
      Feb 28, 2020 to Mar 26, 2020
    • Accounts · 602 to 635
      Mar 29, 2018 to Mar 29, 2019
    • Advisory employees · 5 to 6
      Mar 29, 2018 to Mar 29, 2019
    • Charity clients · 13 to 12
      Mar 29, 2018 to Mar 29, 2019
    • HNW clients · 107 to 108
      Mar 29, 2018 to Mar 29, 2019
    • Individual clients · 100 to 106
      Mar 29, 2018 to Mar 29, 2019
    Signals
    12 dated events
    • S••• C••••••••• D•••• left C•••••• C•••••• M••••••••• L•• for B••• M••• T•••• A•••••••• L•• (registered 2023-01-31)
      Feb 3, 2023 · Advisor changed firm · fact
    • C•••••• O••• P•••••••• left C•••••• C•••••• M••••••••• L•• for B••• M••• T•••• A•••••••• L•• (registered 2023-01-31)
      Feb 3, 2023 · Advisor changed firm · fact
    • 2 advisors left C•••••• C•••••• M••••••••• L•• (Wilmington, DE) for B••• M••• T•••• A•••••••• L•• on the same day
      Feb 3, 2023 · Team lift-out · derived
    • D Jeffrey Mills (Chief Investment Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L••
      Mar 31, 2022 · Control person joined · fact
    • Randolph Harrison Gelber (Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L••
      Feb 28, 2020 · Control person joined · fact
    • Vincent Ronald Samuels (Cypres Capital Management - Board Member) appeared on Schedule A of C•••••• C•••••• M••••••••• L••
      Feb 28, 2020 · Control person joined · fact
    • Rocco Salvatore Faia (Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2020-02-28)
      Feb 28, 2020 · Control person left · inference
    • Rodger Levenson (C•••••• Capital Management-Board Member) no longer on Schedule A of C•••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2020-02-28)
      Feb 28, 2020 · Control person left · inference
    • David Paul Geraghty (C•••••• Capital Management-Board Member) no longer on Schedule A of C•••••• C•••••• M••••••••• L•• (listed 2018-03-29, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • C••••••••• D•••••• C••••• (C•••••• Capital Management-Board Member) no longer on Schedule A of C•••••• C•••••• M••••••••• L•• (listed 2018-03-29, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • John Arthur Bacci (C•••••• Capital Management-Board Member) appeared on Schedule A of C•••••• C•••••• M••••••••• L••
      Mar 29, 2019 · Control person joined · fact
    • Stephen Petrucci (C•••••• Capital Management-Board Member) appeared on Schedule A of C•••••• C•••••• M••••••••• 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