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••• M••••• L•••

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 119167SEC 801-60927IAPD
Latest filing Mar 23, 2020
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$704M
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
34
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$704M as of Mar 23, 2020
Mar 29, 2012$12B then
HNW client RAUM$0 as of Mar 23, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 23, 2020
Mar 29, 20120 then
Employees (5.A)34 as of Mar 23, 2020
Mar 28, 201335 then
Private funds: no history
RAUM -93% over the last fiscal year-57% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2020; every figure names its basis
RAUM per advisor
$235MderivedRAUM 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
$14.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
73%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
11.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-93%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$311M59%
  • State and municipal entities$174M33%
  • Charitable organizations$15.4M2.9%
  • Insurance companies$14.2M2.7%
  • Corporations and businesses$11.4M2.2%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
30reported
Charitable clients
1reported
Accounts
49reported
Financial planning clients
0reported
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
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
      • M•••••• G••••••• M••• · General Partner Membercontrol
        since 01/2002 · owns 25% to 50%
      • N•••••• E•••••• M•••••• · General Partner Membercontrol
        since 01/2002 · owns 25% to 50%
      • M•••••• G••••••• M••• · Membercontrol
        since 01/2002 · owns 50% to 75% of C••• M••••• L••
      • N•••••• E•••••• M•••••• · Membercontrol
        since 01/2002 · owns 50% to 75% of C••• M••••• L••
      • A••••• B••••• S•••• · Fixed Income Portfolio Manager
        since 04/1999 · owns less than 5%
      • A•••••• S•••••• M•••• · Equity Portfolio Manager
        since 09/2009 · owns less than 5%
      • B•••••• N••••• A••• · M•••Eting Manager
        since 04/2013 · owns less than 5%
      • B••••••• L•••• A•• · M•••Eting Assistant
        since 01/2002 · owns less than 5%
      • B•••• L••••••• J••• · Operations Manager
        since 09/2009 · owns less than 5%
      • C•••••••• T••••••• M•••• · Client Accountant
        since 09/2009 · owns less than 5%
      • D••••••• J••••••• R•••••• · M•••Eting Manager
        since 09/2009 · owns less than 5%
      • D•••••••• M••••••• J•••• · Equity Portfolio Manager
        since 08/2013 · owns less than 5%
      • D•••••••• M••••••• P•••• · Equity Portfolio Manager
        since 01/2012 · owns less than 5%
      • F••••••••• A•••••• M•• · Fixed Income Portfolio Manager
        since 12/2009 · owns less than 5%
      • G••••••••• M•••• R•••••• · President
        since 04/2007 · owns less than 5%
      • G••••••• K••••••• E••••• · Systems Administrator
        since 01/2002 · owns less than 5%
      • H•••••• B•••• M•••••• · M•••Eting Manager
        since 01/2002 · owns less than 5%
      • H•••••• Z••••••• K•••• · Senior Fixed Income Analyst
        since 05/2010 · owns less than 5%
      • J•••••••• B••••• R••••• · Fixed Income Portfolio Manager
        since 03/1994 · owns less than 5%
      • K••••• L••••• A•• · Client Accountant
        since 03/2012 · owns less than 5%
      • L••••• K••••• L••• · Controller
        since 09/2009 · owns less than 5%
      • M••••••• M••• J• · M•••Eting Assistant
        since 09/2009 · owns less than 5%
      • M••••• R•••••• A•••• · Equity Portfolio Manager
        since 10/2000 · owns less than 5%
      • M•••••• B••••••• E•••• · Limited Partner
        since 01/2002 · owns less than 5%
      • M•••••• C••••• A••• · Limited Partner
        since 07/2018 · owns less than 5%
      • M•••••• D•••••••• J••• · Limited Partner
        since 01/2002 · owns less than 5%
      • M•••••• J•••••• C•••• · Limited Partner
        since 01/2002 · owns less than 5%
      • M•••••• J•••• C••••••••• · Limited Partner
        since 01/2002 · owns less than 5%
      • M•••••• P•••••••• R••••• · Limited Partner
        since 01/2002 · owns less than 5%
      • N••••••••• S•••••• · Investment Support Manager
        since 09/2009 · owns less than 5%
      Entity owners
      • C••• M••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 320 to 49
        Jun 18, 2019 to Mar 23, 2020
      • Advisory activities · 4 to 2
        Jun 18, 2019 to Mar 23, 2020
      • Charity clients · 30 to 1
        Jun 18, 2019 to Mar 23, 2020
      • Corporate clients · 44 to 2
        Jun 18, 2019 to Mar 23, 2020
      • Pension plan clients · 84 to 30
        Jun 18, 2019 to Mar 23, 2020
      • Employees · 37 to 34
        Jun 18, 2019 to Mar 23, 2020
      • Discretionary RAUM · $9.7B to $704M
        Jun 18, 2019 to Mar 23, 2020
      • Pension RAUM · $1.2B to $311M
        Jun 18, 2019 to Mar 23, 2020
      • RAUM · $9.7B to $704M
        Jun 18, 2019 to Mar 23, 2020
      • Wrap assets (manager) · 1253261.0 to unset
        Jun 18, 2019 to Mar 23, 2020
      • Wrap assets (sponsor) · 0.0 to unset
        Jun 18, 2019 to Mar 23, 2020
      • Advisory employees · 12 to 11
        Apr 22, 2019 to Jun 18, 2019
      • Employees · 35 to 37
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 319 to 320
        Mar 29, 2018 to Mar 29, 2019
      • Charity clients · 26 to 30
        Mar 29, 2018 to Mar 29, 2019
      • Corporate clients · 45 to 44
        Mar 29, 2018 to Mar 29, 2019
      • Pension plan clients · 86 to 84
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $9.9B to $9.7B
        Mar 29, 2018 to Mar 29, 2019
      • Pension RAUM · $1.3B to $1.2B
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $9.9B to $9.7B
        Mar 29, 2018 to Mar 29, 2019
      • Wrap assets (manager) · $2.0M to $1.3M
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 310 to 319
        Mar 28, 2017 to Mar 29, 2018
      • Advisory employees · 13 to 12
        Mar 28, 2017 to Mar 29, 2018
      • Charity clients · unset to 26.0
        Mar 28, 2017 to Mar 29, 2018
      • Corporate clients · unset to 45.0
        Mar 28, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 86.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Employees · 36 to 35
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $9.0B to $9.9B
        Mar 28, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 1261317946.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $9.0B to $9.9B
        Mar 28, 2017 to Mar 29, 2018
      • Wrap assets (manager) · unset to 2029153.0
        Mar 28, 2017 to Mar 29, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Accounts · 359 to 310
        Sep 22, 2016 to Mar 28, 2017
      Signals
      1 dated events
      • C••• M••••• L••• reported RAUM $704.4M, down 93% from $9.7B (2019-06-18 to 2020-03-23)
        Mar 23, 2020 · 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.
      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