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•••••••• A••••••• L•••••
Latest filing Mar 7, 2013
First filing on the tape Mar 9, 2012 · 9 filings
RAUM
$15B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$19B as of Feb 14, 2013
Mar 9, 2012$960M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 14, 2013
Mar 9, 20120 then
Employees (5.A): 27
Private funds: 16
RAUM +1494% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2013; 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
- $900MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +1902%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 businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
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
- 17reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• A••••••••• M••••••••• M••••• F••• L• | Hedge Fund | $1.8M | 1 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• K••••••• J••• · Chief Compliance Officercontrolsince 11/2004 · owns less than 5%
- G••••••• G•••• H••••• · Chief Financial Offercontrolsince 09/2004 · owns less than 5%
- P•••• A•••••• · Member/Directorcontrolsince 03/2002 · owns 25% to 50%
- W•••••••• B••••• C••••••••• · Member/Ceocontrolsince 03/2002 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••••• A••••••• •••••••• L•••investment advisernRAUM $15B
- C•••••••• A••••••• L••investment advisernRAUM $8.0B
- C•••••••• O••••••• M••••••••• L••bankn
Advisers that list C•••••••• A••••••• L••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $15B to $15BFeb 28, 2013 to Mar 7, 2013
- RAUM · $15B to $15BFeb 28, 2013 to Mar 7, 2013
- Discretionary RAUM · $19B to $15BFeb 14, 2013 to Feb 28, 2013
- RAUM · $19B to $15BFeb 14, 2013 to Feb 28, 2013
- Accounts · 19 to 17Jan 17, 2013 to Feb 14, 2013
- Advisory employees · 12 to 13Jan 17, 2013 to Feb 14, 2013
- Employees · 23 to 27Jan 17, 2013 to Feb 14, 2013
- Discretionary RAUM · $13B to $19BJan 17, 2013 to Feb 14, 2013
- RAUM · $13B to $19BJan 17, 2013 to Feb 14, 2013
- Advisory employees · unset to 12.0Aug 27, 2012 to Jan 17, 2013
- Employees · unset to 23.0Aug 27, 2012 to Jan 17, 2013
- Private funds · 1 to unsetAug 27, 2012 to Jan 17, 2013
- Accounts · 26 to 19Apr 3, 2012 to Aug 27, 2012
- Private funds · 23 to 1Apr 3, 2012 to Aug 27, 2012
- Discretionary RAUM · $12B to $13BApr 3, 2012 to Aug 27, 2012
- RAUM · $12B to $13BApr 3, 2012 to Aug 27, 2012
- Private funds · 16 to 23Mar 9, 2012 to Mar 28, 2012
- Discretionary RAUM · $960M to $12BMar 9, 2012 to Mar 28, 2012
- RAUM · $960M to $12BMar 9, 2012 to Mar 28, 2012
Signals
No event on the tape.
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