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•••••• I••

Former SEC-registered adviserSan Diego, CaliforniaCRD 110083SEC 801-21350IAPD

Legal name C•••••••• C•••••••••

Latest filing Apr 21, 2020

First filing on the tape Dec 12, 2011 · 42 filings

RAUM

$44.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$44.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$14.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

42 filings and snapshots on the tape

RAUM$44.4M as of Mar 30, 2020

Jun 13, 2012$65.0M then

HNW client RAUM$29.9M as of Mar 30, 2020

Mar 30, 2018$40.9M then

State-registered IARs (5.B.3)2 as of Mar 30, 2020

Jun 5, 20131 then

Employees (5.A)2 as of Mar 30, 2020

Jun 5, 20134 then

Private funds: 1

RAUM -13% over the last fiscal year-11% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Apr 21, 2020; every figure names its basis

RAUM per advisor: $14.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $498,780derivedHNW RAUM over HNW clients
Average account: $231,361derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.7derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -13%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.1%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: $43.9MreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$29.9M67%
Individuals$14.5M33%

Individual clients: 132reported
HNW clients: 60reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 192reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••• K••••••• H•••••••	San Diego, Ca	Jan 23, 2020	42 y	1
L•••• G••• D•••••	Speing, Tx	Jan 20, 2022	16 y	0
M••• R••• L••••••	San Diego, Ca	Jan 1, 2026	39 y	1

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

M••• R••• L•••••• from O•••• W•••••• I•••
Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••••• C•••••• S•••• H•••••• F•••• L••no longer reported	Hedge Fund	$246,762	7	Jan 4, 2012

Owners and control persons

Schedule A and B, latest filing

H•••••••• J•••• K••••••• · Chairman,President,Chief Investment Officer,control
since 02/1984 · owns less than 5%
H•••••••• J•••• K••••••• · Ownercontrol
since 02/2013 · owns 75% or more of P•••• T•••• I••
F•••• S•••••• T•••••• · Vp-Operations, Chief Compliance Officer
since 08/1993 · owns less than 5%

Entity owners

P•••• T•••• I•• · Corporation
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Advisers that list C•••••••• C•••••• I•• as a related person

10547 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
San Diego, Ca · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $43.9M to $44.4M
Mar 30, 2020 to Apr 15, 2020
Non-discretionary RAUM · $526,501 to $0
Mar 30, 2020 to Apr 15, 2020
Accounts · 171 to 192
Mar 10, 2020 to Mar 30, 2020
HNW clients · 64 to 60
Mar 10, 2020 to Mar 30, 2020
Individual clients · 107 to 132
Mar 10, 2020 to Mar 30, 2020
Discretionary RAUM · $52.4M to $43.9M
Mar 10, 2020 to Mar 30, 2020
HNW RAUM · $35.8M to $29.9M
Mar 10, 2020 to Mar 30, 2020
Individual RAUM · $16.7M to $14.5M
Mar 10, 2020 to Mar 30, 2020
Non-discretionary RAUM · $0 to $526,501
Mar 10, 2020 to Mar 30, 2020
RAUM · $52.4M to $44.4M
Mar 10, 2020 to Mar 30, 2020
Advisory employees · 1 to 2
Nov 29, 2019 to Dec 5, 2019
State-registered IARs · 1 to 2
Nov 29, 2019 to Dec 5, 2019
Wrap assets (manager) · $52.4M to $0
Nov 29, 2019 to Dec 5, 2019
Wrap assets (sponsor) · $52.4M to $0
Nov 29, 2019 to Dec 5, 2019
BD registered reps · 2 to 1
Nov 12, 2019 to Nov 29, 2019
Employees · 3 to 2
Oct 23, 2019 to Nov 12, 2019
Discretionary RAUM · $52.2M to $52.4M
Oct 23, 2019 to Nov 12, 2019
Individual RAUM · $17.0M to $16.7M
Oct 23, 2019 to Nov 12, 2019
Non-discretionary RAUM · $583,813 to $0
Oct 23, 2019 to Nov 12, 2019
RAUM · $52.7M to $52.4M
Oct 23, 2019 to Nov 12, 2019
Wrap assets (sponsor) · $52.2M to $52.4M
Oct 23, 2019 to Nov 12, 2019
Wrap assets (manager) · $52.2M to $52.4M
Nov 12, 2019 to Nov 12, 2019
Accounts · 209 to 171
Mar 28, 2019 to Sep 9, 2019
BD registered reps · 1 to 2
Mar 28, 2019 to Sep 9, 2019
HNW clients · 102 to 64
Mar 28, 2019 to Sep 9, 2019
Individual clients · 79 to 107
Mar 28, 2019 to Sep 9, 2019
Commission compensation · true to false
Mar 28, 2019 to Sep 9, 2019
Employees · 4 to 3
Mar 28, 2019 to Sep 9, 2019
Discretionary RAUM · $50.6M to $52.2M
Mar 28, 2019 to Sep 9, 2019
HNW RAUM · $41.5M to $35.8M
Mar 28, 2019 to Sep 9, 2019
Individual RAUM · $9.7M to $17.0M
Mar 28, 2019 to Sep 9, 2019
Non-discretionary RAUM · $577,793 to $583,813
Mar 28, 2019 to Sep 9, 2019
RAUM · $51.2M to $52.7M
Mar 28, 2019 to Sep 9, 2019
Wrap assets (manager) · $51.2M to $52.2M
Mar 28, 2019 to Sep 9, 2019
Wrap assets (sponsor) · $51.2M to $52.2M
Mar 28, 2019 to Sep 9, 2019
Accounts · 215 to 209
Mar 30, 2018 to Mar 28, 2019
HNW clients · 72 to 102
Mar 30, 2018 to Mar 28, 2019
Individual clients · 118 to 79
Mar 30, 2018 to Mar 28, 2019
HQ city · ESCONDIDO to SAN DIEGO
Mar 30, 2018 to Mar 28, 2019
Discretionary RAUM · $61.5M to $50.6M
Mar 30, 2018 to Mar 28, 2019

Signals

1 dated events

David John Lauer (Chief Compliance Officer) no longer on Schedule A of C•••••••• C•••••• I•• (listed 2019-10-23, absent 2019-11-12)
Nov 12, 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.

How to reach

public business contact points only, each with its source

Website: C••••••••C••••••.COMreportedpublic record, Form ADV, Sep 19, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $14.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026