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

T•••• A•• F•••••••• M••••••••• S•••••••• I•••

Former SEC-registered adviserHasbrouck Heights, New JerseyCRD 110240SEC 801-60043IAPD
Latest filing Apr 3, 2017
First filing on the tape Apr 2, 2012 · 10 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$116M as of Mar 4, 2016
Apr 2, 2012$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 3, 2017
Apr 1, 20133 then
Employees (5.A)0 as of Apr 3, 2017
Apr 1, 20138 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 0
Practice profile
derived from the filing of Apr 3, 2017; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J••••• L•••• · Chief Executive Officer/Chief Financial Officer/Chief Compliance Officercontrol
        since 10/2012 · owns less than 5%
      • C•••••• J••••• M•••••• · Chief Technologies Officercontrol
        since 08/2014 · owns less than 5%
      • C••••••• S•••••• C••• · Membercontrol
        since 05/2011 · owns 25% to 50% of C••••• Financial, LLC
      • C•••••• J••••• L•••• · Managing Membercontrol
        since 06/2005 · owns F of C••••• Financial, LLC
      • T•••••• J••••• P•••• · Director Of Research
        since 10/2012 · owns less than 5%
      Entity owners
      • C••••• F•••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 87.0 to unset
        Mar 4, 2016 to Apr 3, 2017
      • Advisory employees · 4 to 0
        Mar 4, 2016 to Apr 3, 2017
      • Advisory activities · 3 to 1
        Mar 4, 2016 to Apr 3, 2017
      • Employees · 7 to 0
        Mar 4, 2016 to Apr 3, 2017
      • State-registered IARs · 4 to 0
        Mar 4, 2016 to Apr 3, 2017
      • Discretionary RAUM · 113789691.0 to unset
        Mar 4, 2016 to Apr 3, 2017
      • Non-discretionary RAUM · 1863494.0 to unset
        Mar 4, 2016 to Apr 3, 2017
      • RAUM · 115653185.0 to unset
        Mar 4, 2016 to Apr 3, 2017
      • Accounts · 145 to 87
        Dec 8, 2015 to Mar 4, 2016
      • HQ city · BOSTON to HASBROUCK HEIGHTS
        Dec 8, 2015 to Mar 4, 2016
      • HQ state · MA to NJ
        Dec 8, 2015 to Mar 4, 2016
      • Discretionary RAUM · $230M to $114M
        Dec 8, 2015 to Mar 4, 2016
      • Non-discretionary RAUM · $205,235 to $1.9M
        Dec 8, 2015 to Mar 4, 2016
      • RAUM · $231M to $116M
        Dec 8, 2015 to Mar 4, 2016
      • Advisory employees · 5 to 4
        Mar 27, 2015 to Dec 8, 2015
      • State-registered IARs · 3 to 4
        Mar 27, 2015 to Dec 8, 2015
      • Accounts · 124 to 145
        Aug 22, 2014 to Mar 27, 2015
      • Advisory activities · 4 to 3
        Aug 22, 2014 to Mar 27, 2015
      • State-registered IARs · 2 to 3
        Aug 22, 2014 to Mar 27, 2015
      • Discretionary RAUM · $175M to $230M
        Aug 22, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $615,323 to $205,235
        Aug 22, 2014 to Mar 27, 2015
      • RAUM · $176M to $231M
        Aug 22, 2014 to Mar 27, 2015
      • Accounts · 145 to 124
        Mar 28, 2014 to Aug 22, 2014
      • Advisory employees · 6 to 5
        Mar 28, 2014 to Aug 22, 2014
      • Employees · 8 to 7
        Mar 28, 2014 to Aug 22, 2014
      • State-registered IARs · 3 to 2
        Mar 28, 2014 to Aug 22, 2014
      • Non-discretionary RAUM · $10.1M to $615,323
        Mar 28, 2014 to Aug 22, 2014
      • RAUM · $185M to $176M
        Mar 28, 2014 to Aug 22, 2014
      • Accounts · 160 to 145
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $143M to $175M
        Apr 1, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $8.4M to $10.1M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $151M to $185M
        Apr 1, 2013 to Mar 28, 2014
      • Accounts · 112 to 160
        Nov 27, 2012 to Apr 1, 2013
      • Advisory employees · 4 to 6
        Nov 27, 2012 to Apr 1, 2013
      • Employees · 5 to 8
        Nov 27, 2012 to Apr 1, 2013
      • Discretionary RAUM · $92.0M to $143M
        Nov 27, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $8.0M to $8.4M
        Nov 27, 2012 to Apr 1, 2013
      • RAUM · $100M to $151M
        Nov 27, 2012 to Apr 1, 2013
      • Advisory employees · unset to 4.0
        Apr 2, 2012 to Nov 12, 2012
      • Employees · unset to 5.0
        Apr 2, 2012 to Nov 12, 2012
      Signals
      No event on the tape.
      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