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•••••• G••••••• •••••••• I•••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 110681SEC 801-56526websiteIAPD
Latest filing Dec 9, 2024
First filing on the tape Dec 22, 2011 · 25 filings
SEC status approved since Jun 1, 1999
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 27, 2024
Sep 28, 20120 then
Employees (5.A)1 as of Sep 27, 2024
Sep 26, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 9, 2024; 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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
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)
  • 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
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
      • B••••• J•••••• H••••• · Director, Chairmancontrol
        since 09/2010 · owns less than 5%
      • H•••••••• R••• · Directorcontrol
        since 01/2020 · owns less than 5%
      • N••••• N•••••• Z•••••• S•••• · Chief Compliance Officercontrol
        since 06/2024 · owns less than 5%
      • P•••••••• A•••• W••••• · Director And Treasurercontrol
        since 03/2023 · owns less than 5%
      Entity owners
      • C•••••• I••••••••• I••• · Shareholder
        direct · owns 75% or more
      • C•••••• G•••• I••••••••• I••• · Shareholder
        indirect · owns 75% or more of C•••••• I••••••••• I•••
      • C•••••• R••••••• A•• M••••••••• C•••••• · Shareholder
        indirect · owns 75% or more of C•••••• G•••• I••••••••• I•••
      • T•• C•••••• G•••• C••••••••• I••• · Shareholder
        indirect · owns 75% or more of C•••••• R••••••• A•• M••••••••• C••••••
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• G••••••• •••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Toronto, Ontario, Canada1 employees
      What changed
      consecutive filings, newest first
      • Other offices · unset to 1.0
        Sep 28, 2017 to Sep 28, 2018
      • Advisory employees · 3 to 1
        Sep 28, 2016 to Sep 28, 2017
      • Employees · 3 to 1
        Sep 28, 2016 to Sep 28, 2017
      • Advisory employees · unset to 3.0
        Sep 28, 2012 to Sep 26, 2013
      • Employees · unset to 3.0
        Sep 28, 2012 to Sep 26, 2013
      • Related bank · false to true
        Sep 28, 2012 to Sep 26, 2013
      • Insurance-licensed employees · unset to 0.0
        Dec 22, 2011 to Mar 29, 2012
      • Financial planning clients · 0 to unset
        Dec 22, 2011 to Mar 29, 2012
      Signals
      12 dated events
      • C•••••• G••••••• •••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02)
        Dec 20, 2025 · Left the SEC roster · derived
      • Y•••••• H•••••• P••• (Chief Compliance Officer) no longer on Schedule A of C•••••• G••••••• •••••••• I••• (listed 2023-12-06, absent 2024-06-07)
        Jun 7, 2024 · Control person left · inference
      • Zarifeh Sahar Naseem Nixon (Chief Compliance Officer) appeared on Schedule A of C•••••• G••••••• •••••••• I•••
        Jun 7, 2024 · Control person joined · fact
      • Moran Jessica Zerges (Chief Compliance Officer & Secretary) no longer on Schedule A of C•••••• G••••••• •••••••• I••• (listed 2023-09-28, absent 2023-12-06)
        Dec 6, 2023 · Control person left · inference
      • Y•••••• H•••••• P••• (Chief Compliance Officer) appeared on Schedule A of C•••••• G••••••• •••••••• I•••
        Dec 6, 2023 · Control person joined · fact
      • Randall Todd Wagner (Director And Treasurer) no longer on Schedule A of C•••••• G••••••• •••••••• I••• (listed 2022-09-28, absent 2023-03-30)
        Mar 30, 2023 · Control person left · inference
      • Walker Adam Phillips (Director And Treasurer) appeared on Schedule A of C•••••• G••••••• •••••••• I•••
        Mar 30, 2023 · Control person joined · fact
      • Arthur Mark Tiffin (Director) no longer on Schedule A of C•••••• G••••••• •••••••• I••• (listed 2019-09-27, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • Marie Jane Scofield (Chief Compliance Officer) no longer on Schedule A of C•••••• G••••••• •••••••• I••• (listed 2019-09-27, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • Rick Headrick (Director) appeared on Schedule A of C•••••• G••••••• •••••••• I•••
        Jan 23, 2020 · Control person joined · fact
      • Moran Jessica Zerges (Chief Compliance Officer) appeared on Schedule A of C•••••• G••••••• •••••••• I•••
        Jan 23, 2020 · Control person joined · fact
      • Anthony Michael Felix (Senior Vice President & Treasurer) no longer on Schedule A of C•••••• G••••••• •••••••• I••• (listed 2018-09-28, absent 2019-09-27)
        Sep 27, 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.
      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