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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SEC-registered adviser
C••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Apr 2, 2012 · 24 filings
SEC status approved since May 31, 2000
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
52%
$6.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
64
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$12B as of Mar 27, 2026
Apr 2, 2012$6.9B then
HNW client RAUM$6.0B as of Mar 27, 2026
Mar 30, 2021$3.6B then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)64 as of Mar 27, 2026
Mar 28, 201335 then
Private funds3 as of Mar 27, 2026
Mar 30, 20212 then
RAUM +27% over the last fiscal year+7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $755,877derivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, 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
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- High-net-worth individuals$6.0B52%
- Investment companies$4.4B38%
- Corporations and businesses$556M4.8%
- Charitable organizations$309M2.7%
- State and municipal entities$155M1.3%
- Pension and profit-sharing plans$130M1.1%
- Pooled investment vehicles$23.8M0.2%
- Insurance companies$7.0M0.1%
- Individual clients
- n/areported
- HNW clients
- 7,940reported
- Pension plan clients
- 39reported
- Charitable clients
- 115reported
- Accounts
- 8,419reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $5.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.52 fund_share=0.38 institutional_share=0.05 related_bd=false related_bank=false bd_reps=18.0derived
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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C••••• G••••• S•••• C•• V•••• L• | Hedge Fund | $20.2M | 6 | Mar 23, 2016 |
| S•••••• C••••• E••••••• M•••••• S•••• C•• F••• L• | Hedge Fund | $2.8M | 2 | Mar 30, 2020 |
| C••••• G••••• D••••••• A•• O•••••• H•••• F••• L• | $727,963 | 2 | Mar 27, 2026 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• B•••••• H•••••••• · Vice Chairman And Executive Directorcontrolsince 04/2000 · owns 5% to 10%
- C•••••• J••••• P•••••• · Owner, Chairman And Ceocontrolsince 04/2000 · owns 75% or more
- K••••• A••••• J••• · Chief Compliance Officer Chief Operating Officercontrolsince 07/2022 · owns less than 5%
- O•••••• S••••••• J• · Executive Director And Chief Operating Officercontrolsince 11/2022 · owns less than 5%
- C•••••• B•••••• H•••••••• · Trustee - C••••• 2••• D••••••••• T••••controlsince 04/2011 · owns F of C••••• 2••• D••••••••• T••••
- O•••••• S••••••• J• · Trustee - C••••• 2011 Descendant'S Trustcontrolsince 10/2023 · owns F of C••••• 2••• D••••••••• T••••
Entity owners
- C••••• 2••• D••••••••• T•••• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••••• C••••• C•••••• M••••••••• I••investment advisern
Advisers that list C••••• C•••••• M••••••••• L•• as a related person
- 105799 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026O•••••• S••••••• J• (TRUSTEE - C••••• 2011 DESCENDANT'S TRUST) left Schedule A between the filings of 2022-11-07 and 2026-03-27peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 7,423 to 8,419Mar 31, 2025 to Mar 27, 2026
- BD registered reps · 15 to 18Mar 31, 2025 to Mar 27, 2026
- Charity clients · 108 to 115Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 296 to 303Mar 31, 2025 to Mar 27, 2026
- HNW clients · 6,954 to 7,940Mar 31, 2025 to Mar 27, 2026
- Pension plan clients · 42 to 39Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $9.1B to $12BMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $5.0B to $6.0BMar 31, 2025 to Mar 27, 2026
- Pension RAUM · $149M to $130MMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $17.7M to $23.8MMar 31, 2025 to Mar 27, 2026
- RAUM · $9.1B to $12BMar 31, 2025 to Mar 27, 2026
- Wrap assets (manager) · $4.4B to $5.3BMar 31, 2025 to Mar 27, 2026
- Accounts · 7,908 to 7,423Mar 28, 2024 to Mar 31, 2025
- Charity clients · 125 to 108Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 315 to 296Mar 28, 2024 to Mar 31, 2025
- HNW clients · 7,400 to 6,954Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 43 to 42Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 2 to 3Mar 28, 2024 to Mar 31, 2025
- Employees · 63 to 64Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 2 to 3Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.0B to $9.1BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $4.9B to $5.0BMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $182M to $149MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $20.9M to $17.7MMar 28, 2024 to Mar 31, 2025
- RAUM · $9.0B to $9.1BMar 28, 2024 to Mar 31, 2025
- Wrap assets (manager) · $265M to $4.4BMar 28, 2024 to Mar 31, 2025
- Accounts · 7,931 to 7,908Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 15 to 17Mar 31, 2023 to Mar 28, 2024
- Charity clients · 143 to 125Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 370 to 315Mar 31, 2023 to Mar 28, 2024
- HNW clients · 7,345 to 7,400Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 47 to 43Mar 31, 2023 to Mar 28, 2024
- Employees · 62 to 63Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $9.4B to $9.0BMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $4.9B to $4.9BMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $169M to $182MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $20.1M to $20.9MMar 31, 2023 to Mar 28, 2024
- RAUM · $9.4B to $9.0BMar 31, 2023 to Mar 28, 2024
- Wrap assets (manager) · $306M to $265MMar 31, 2023 to Mar 28, 2024
Signals
7 dated events
- C••••• C•••••• M••••••••• L•• reported RAUM $11.6B, up 27% from $9.1B (2025-03-31 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Jeffrey Battaglia (Trustee - C••••• 2••• D••••••••• T••••) no longer on Schedule A of C••••• C•••••• M••••••••• L•• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- J S•••••• O••••• (Executive Director And Chief Operating Officer) appeared on Schedule A of C••••• C•••••• M••••••••• L••Nov 7, 2022 · Control person joined · fact
- Michael Steven Mullooly (Chief Compliance Officer) no longer on Schedule A of C••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2022-07-22)Jul 22, 2022 · Control person left · inference
- J••• A•••• K•••• (Chief Compliance Officer) appeared on Schedule A of C••••• C•••••• M••••••••• L••Jul 22, 2022 · Control person joined · fact
- C••••• C•••••• M••••••••• L•• reported RAUM $9.2B, up 31% from $7.0B (2022-02-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••••• C•••••• M••••••••• L•• reported RAUM $7.0B, up 139% from $2.9B (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 212-644-1800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-485-8586reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/schafer-cullen-cullen-fundsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-644-1800reportedpublic record, Form ADV, Mar 27, 2026
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
- Independent wealth managerderiveda 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