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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• J••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 112336SEC 801-46303IAPD
Legal name C• P••••••• L••
Latest filing Nov 7, 2022
First filing on the tape Apr 10, 2012 · 28 filings
RAUM
$443M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$443M 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
28 filings and snapshots on the tape
RAUM$443M as of Mar 30, 2022
Apr 10, 2012$202M then
HNW client RAUM$443M as of Mar 30, 2022
Mar 29, 2018$279M then
State-registered IARs (5.B.3)2 as of Mar 30, 2022
Apr 1, 20132 then
Employees (5.A)3 as of Mar 30, 2022
Apr 1, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 7, 2022; every figure names its basis
RAUM per advisor
$222MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
126derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$443M100%
Individual clients
0reported
HNW clients
251reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
251reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J•••••• E••• · Ceo, Cfo, Coocontrol
        since 03/1994 · owns 50% to 75%
      • C•••••• G••••••• J•••• · Principal, Cco, Clo
        since 03/1994 · owns 10% to 25%
      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 · 243 to 251
        Oct 12, 2021 to Mar 30, 2022
      • HNW clients · 243 to 251
        Oct 12, 2021 to Mar 30, 2022
      • Discretionary RAUM · $391M to $443M
        Oct 12, 2021 to Mar 30, 2022
      • HNW RAUM · $391M to $443M
        Oct 12, 2021 to Mar 30, 2022
      • RAUM · $391M to $443M
        Oct 12, 2021 to Mar 30, 2022
      • Accounts · 232 to 243
        Nov 5, 2020 to Apr 1, 2021
      • Charity clients · unset to 0.0
        Nov 5, 2020 to Apr 1, 2021
      • Corporate clients · unset to 0.0
        Nov 5, 2020 to Apr 1, 2021
      • HNW clients · 232 to 243
        Nov 5, 2020 to Apr 1, 2021
      • Individual clients · unset to 0.0
        Nov 5, 2020 to Apr 1, 2021
      • Financial planning clients · 1-10 to 11-25
        Nov 5, 2020 to Apr 1, 2021
      • Discretionary RAUM · $322M to $391M
        Nov 5, 2020 to Apr 1, 2021
      • HNW RAUM · $322M to $391M
        Nov 5, 2020 to Apr 1, 2021
      • RAUM · $322M to $391M
        Nov 5, 2020 to Apr 1, 2021
      • Accounts · 226 to 232
        Oct 7, 2019 to May 12, 2020
      • HNW clients · 226 to 232
        Oct 7, 2019 to May 12, 2020
      • Discretionary RAUM · $272M to $322M
        Oct 7, 2019 to May 12, 2020
      • HNW RAUM · $272M to $322M
        Oct 7, 2019 to May 12, 2020
      • RAUM · $272M to $322M
        Oct 7, 2019 to May 12, 2020
      • Accounts · 231 to 226
        Mar 29, 2018 to Mar 27, 2019
      • HNW clients · 231 to 226
        Mar 29, 2018 to Mar 27, 2019
      • Financial planning clients · 11-25 to 1-10
        Mar 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $279M to $272M
        Mar 29, 2018 to Mar 27, 2019
      • HNW RAUM · $279M to $272M
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $279M to $272M
        Mar 29, 2018 to Mar 27, 2019
      • Accounts · 224 to 231
        Dec 19, 2017 to Mar 29, 2018
      • HNW clients · 224 to 231
        Dec 19, 2017 to Mar 29, 2018
      • Discretionary RAUM · $241M to $279M
        Dec 19, 2017 to Mar 29, 2018
      • HNW RAUM · $241M to $279M
        Dec 19, 2017 to Mar 29, 2018
      • RAUM · $241M to $279M
        Dec 19, 2017 to Mar 29, 2018
      • HNW clients · unset to 224.0
        Mar 16, 2017 to Dec 5, 2017
      • Pooled vehicle clients · unset to 0.0
        Mar 16, 2017 to Dec 5, 2017
      • Other offices · unset to 0.0
        Mar 16, 2017 to Dec 5, 2017
      • HNW RAUM · unset to 241000000.0
        Mar 16, 2017 to Dec 5, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Mar 16, 2017 to Dec 5, 2017
      • Accounts · 221 to 224
        May 4, 2016 to Mar 16, 2017
      • Discretionary RAUM · $229M to $241M
        May 4, 2016 to Mar 16, 2017
      • RAUM · $229M to $241M
        May 4, 2016 to Mar 16, 2017
      • Accounts · 229 to 221
        Dec 3, 2015 to May 4, 2016
      • Financial planning clients · 26-50 to 11-25
        Dec 3, 2015 to May 4, 2016
      Signals
      3 dated events
      • G•••••• J•••• C••••• left C••••• J••••• L•• for P•••••• P•••••••• C••••••••• L•• (registered 2023-02-08)
        Jan 2, 2023 · Advisor changed firm · fact
      • E••• P•••• J••••• left C••••• J••••• L•• for P•••••• P•••••••• C••••••••• L•• (registered 2023-02-14)
        Jan 2, 2023 · Advisor changed firm · fact
      • 2 advisors left C••••• J••••• L•• (Seattle, WA) for P•••••• P•••••••• C••••••••• L•• on the same day
        Jan 2, 2023 · Team lift-out · derived
      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