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••
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2012 · 42 filings
SEC status approved since Nov 13, 1987
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$244M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$244M as of Mar 31, 2026
Mar 26, 2012$123M then
HNW client RAUM$185M as of Mar 31, 2026
Mar 30, 2018$122M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 26, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $61.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $415,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $114M, 219 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M76%
- Individuals$58.5M24%
- Individual clients
- 227reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 587reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $114M for 219 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- J••••• A•••••• T•••••• to M••••• A•••••••May 5, 2026 · RIA to RIA
- T•••••• G• T•••••• to M••••• A•••••••May 5, 2026 · RIA to RIA
- G••••• T••••• D•••••• to G•••• L•••• C•••••• M••••••••• L••May 1, 2026 · RIA to RIA
- D•••• R•••••• P••••• to P••••• F•••••••• L••Oct 4, 2023 · RIA to a state-registered adviser
- S•••• K• R••• to C••••••••• F•••••••• N••••••Mar 20, 2019 · RIA to affiliated broker-dealer or bank
- S••••• K••• V•• A•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 31, 2017 · Other
- I•• A•••••••• A•••••••• to C•••• H••••• A•••• M••••••••• L••Aug 11, 2006 · Other
Joined, latest
- D•••• R•••••• P••••• from C•••••• F•••••••• A••••••••• I••Nov 2, 2021 · RIA to RIA
- S•••• K• R••• from P••••••••• S••••••••• C•••••••••Jan 30, 2019 · Other
- J••••• A•••••• T•••••• from P•••••• A•••••• G••••• L••Nov 13, 2018 · RIA to RIA
- S••••• K••• V•• A•••• from W••••••• R•••••••• M••••••••• I••Apr 22, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• A•••••••May 5, 2026 · Fairfield, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• S••• H•••••• · Ciocontrolsince 09/1987 · owns less than 5%
- T••••••• T••••••• G• · Ccocontrolsince 03/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairfield, Ct · principal | 0 | 0 | 3 | 1 | |
| Richmond, Va | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Overland Park, KS1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 543 to 587Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 6 to 4Mar 28, 2025 to Mar 31, 2026
- HNW clients · 72 to 78Mar 28, 2025 to Mar 31, 2026
- Individual clients · 223 to 227Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $218M to $114MMar 28, 2025 to Mar 31, 2026
- Employees · 6 to 4Mar 28, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 4Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $218M to $244MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $166M to $185MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $52.4M to $58.5MMar 28, 2025 to Mar 31, 2026
- RAUM · $218M to $244MMar 28, 2025 to Mar 31, 2026
- Accounts · 517 to 543Mar 28, 2024 to Mar 28, 2025
- Business name · C••••• F•••••••• O••••••••• O• C•• C•••••• M••••••••• to C•• C•••••• M••••••••• L••Mar 28, 2024 to Mar 28, 2025
- HNW clients · 68 to 72Mar 28, 2024 to Mar 28, 2025
- Individual clients · 218 to 223Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $169M to $218MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 28, 2025
- Legal name · C••••• INVESTMENT A••••••S, LTD. to C•• C•••••• M••••••••• L••Mar 28, 2024 to Mar 28, 2025
- Other offices · 4 to 1Mar 28, 2024 to Mar 28, 2025
- Organization form · Corporation to Limited Liability CompanyMar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $187M to $218MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $143M to $166MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $44.0M to $52.4MMar 28, 2024 to Mar 28, 2025
- RAUM · $187M to $218MMar 28, 2024 to Mar 28, 2025
- Accounts · 539 to 517Dec 6, 2023 to Mar 28, 2024
- HNW clients · 65 to 68Dec 6, 2023 to Mar 28, 2024
- Individual clients · 252 to 218Dec 6, 2023 to Mar 28, 2024
- Assets in custody · $155M to $169MDec 6, 2023 to Mar 28, 2024
- Financial planning clients · 0 to 1-10Dec 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $170M to $187MDec 6, 2023 to Mar 28, 2024
- HNW RAUM · $131M to $143MDec 6, 2023 to Mar 28, 2024
- Individual RAUM · $39.7M to $44.0MDec 6, 2023 to Mar 28, 2024
- RAUM · $170M to $187MDec 6, 2023 to Mar 28, 2024
- Assets in custody · unset to 154601911.0Jun 14, 2023 to Sep 5, 2023
- Custody of client assets · false to trueJun 14, 2023 to Sep 5, 2023
- HQ city · W••••••• to FAIRFIELDMar 28, 2023 to Jun 14, 2023
- Accounts · 503 to 539Mar 25, 2022 to Mar 28, 2023
- Advisory employees · 7 to 6Mar 25, 2022 to Mar 28, 2023
- HNW clients · 143 to 65Mar 25, 2022 to Mar 28, 2023
- Individual clients · 217 to 252Mar 25, 2022 to Mar 28, 2023
Signals
7 dated events
- C•• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $243.9M)Jun 1, 2026 · Left the SEC roster · derived
- T•••••• G• T•••••• left C•• C•••••• M••••••••• L•• for M••••• A••••••• (registered 2026-05-05)May 5, 2026 · a•••••• firm change · fact
- J••••• A•••••• T•••••• left C•• C•••••• M••••••••• L•• for M••••• A••••••• (registered 2026-05-05)May 5, 2026 · a•••••• firm change · fact
- 2 advisors left C•• C•••••• M••••••••• L•• (Fairfield, CT) for M••••• A••••••• on the same dayMay 5, 2026 · Team lift-out · derived
- G••••• T••••• D•••••• left C•• C•••••• M••••••••• L•• for G•••• L•••• C•••••• M••••••••• L•• (registered 2026-04-01)May 1, 2026 · a•••••• firm change · fact
- G Timothy Tymniak (Cco) appeared on Schedule A of C•• C•••••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- D•••• R•••••• P••••• left C•• C•••••• M••••••••• L•• for P••••• F•••••••• L•• (registered 2023-09-19)Oct 4, 2023 · a•••••• firm change · 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