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••••••••• A••••••• S•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 111593SEC 801-60913IAPD
Latest filing Mar 11, 2020
First filing on the tape Mar 26, 2012 · 12 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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2020
Mar 26, 20120 then
Employees (5.A)3 as of Mar 11, 2020
Feb 12, 201315 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2020; 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
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, 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
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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
      • P••••• P••••• J••• · Chairman, Chief Executive Officer, Elected Managercontrol
        since 12/2015 · owns 50% to 75%
      • G•••• D••••• H•••••••• · Cao, Chief Compliance Officer, Gen'L Counsel, Secretary, Elected Manager
        since 02/2006 · owns less than 5%
      Entity owners
      • C••••••••• I•• · Sole Member
        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
      • Advisory employees · 3 to 2
        Mar 27, 2019 to Mar 11, 2020
      • Employees · 5 to 3
        Mar 27, 2019 to Mar 11, 2020
      • Advisory employees · 6 to 3
        Mar 26, 2018 to Mar 27, 2019
      • Employees · 8 to 5
        Mar 26, 2018 to Mar 27, 2019
      • Other offices · 1 to 0
        Mar 26, 2018 to Mar 27, 2019
      • Advisory employees · 13 to 6
        Mar 8, 2017 to Mar 26, 2018
      • Charity clients · unset to 0.0
        Mar 8, 2017 to Mar 26, 2018
      • Corporate clients · unset to 0.0
        Mar 8, 2017 to Mar 26, 2018
      • HNW clients · unset to 0.0
        Mar 8, 2017 to Mar 26, 2018
      • Individual clients · unset to 0.0
        Mar 8, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 8, 2017 to Mar 26, 2018
      • Employees · 15 to 8
        Mar 8, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Mar 8, 2017 to Mar 26, 2018
      • Advisory employees · unset to 13.0
        Apr 18, 2012 to Feb 12, 2013
      • Employees · unset to 15.0
        Apr 18, 2012 to Feb 12, 2013
      • Legal name · C••••••••• I••• to C••••••••• A••••••• S•••••••• L••
        Apr 18, 2012 to Feb 12, 2013
      • Business name · C••••••••• I••• to C••••••••• A••••••• S•••••••• L••
        Mar 26, 2012 to Apr 18, 2012
      • Organization form · Corporation to Limited Liability Company
        Mar 26, 2012 to Apr 18, 2012
      • Succession · true to false
        Mar 26, 2012 to Apr 18, 2012
      Signals
      1 dated events
      • C••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 26, 2012 · Succession (Item 4) · 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