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••••••• H• S•••••••

Former SEC-registered adviserNew York, New YorkCRD 119721SEC 801-61145IAPD
Legal name C••••••• H• S•••••••• L••
Latest filing Mar 30, 2020
First filing on the tape Mar 30, 2012 · 17 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
1,000
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)1,000 as of Mar 30, 2020
Mar 28, 20132,000 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
unknownderived2 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
otherreportedItem 5.E
Advisory activities
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
n/areported
HNW clients
n/areported
Pension plan clients
18reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • A••••••• T••••• A•• · Vice-President And General Managercontrol
        since 03/2018 · owns less than 5%
      • K••••••• M•••••• · Manager, Secretary And Vice Presidentcontrol
        since 12/2019 · owns less than 5%
      • L•••••• J•••• A••••• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • S••••• R•••••• W••••• · Treasurercontrol
        since 01/2017 · owns less than 5%
      • W••••••••• B••••• J••••••• · Managercontrol
        since 01/2016 · owns less than 5%
      Entity owners
      • C••••••• B••••••• S•••••••• L•• · Member
        direct · owns 75% or more
      • C••••••• I••••••••• · Owner
        indirect · owns 75% or more of C••••••• B••••••• S•••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Secaucus, NJ4 employees
      What changed
      consecutive filings, newest first
      • Pension plan clients · 35 to 18
        Dec 24, 2019 to Mar 30, 2020
      • Advisory employees · 12 to 0
        Jan 8, 2019 to Mar 30, 2019
      • Related adviser · true to false
        Mar 28, 2018 to Dec 5, 2018
      • Pension plan clients · unset to 35.0
        May 1, 2017 to Dec 7, 2017
      • Legal name · X•••• H• S••••••••• L•• to C••••••• H• S•••••••• L••
        May 1, 2017 to Dec 7, 2017
      • Other offices · unset to 1.0
        May 1, 2017 to Dec 7, 2017
      • Pension RAUM · unset to 0.0
        May 1, 2017 to Dec 7, 2017
      • Business name · X•••• H• S••••••••• L•• to C••••••• H• S•••••••
        Mar 31, 2017 to May 1, 2017
      • Employees · 2,000 to 1,000
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 1 to 0
        Nov 20, 2012 to Mar 28, 2013
      • Business name · A•• H• S••••••••• L•• to X•••• H• S••••••••• L••
        Nov 20, 2012 to Mar 28, 2013
      • Legal name · A•• H• S••••••••• L•• to X•••• H• S••••••••• L••
        Nov 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 12.0
        Mar 30, 2012 to Nov 20, 2012
      • BD registered reps · unset to 1.0
        Mar 30, 2012 to Nov 20, 2012
      • Employees · unset to 2000.0
        Mar 30, 2012 to Nov 20, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Nov 20, 2012
      Signals
      7 dated events
      • M•••••• James Peffer (Manager, Secretary And Vice President) no longer on Schedule A of C••••••• H• S••••••• (listed 2019-09-25, absent 2019-12-24)
        Dec 24, 2019 · Control person left · inference
      • C•••••••• L••••• (President) no longer on Schedule A of C••••••• H• S••••••• (listed 2019-09-25, absent 2019-12-24)
        Dec 24, 2019 · Control person left · inference
      • M•••••• K•••••• (Manager, Secretary And Vice President) appeared on Schedule A of C••••••• H• S•••••••
        Dec 24, 2019 · Control person joined · fact
      • A••••• J••• L••••• (Chief Compliance Officer) appeared on Schedule A of C••••••• H• S•••••••
        Mar 30, 2019 · Control person joined · fact
      • Ann T•••• A•••••• (Vice-President And General Manager) appeared on Schedule A of C••••••• H• S•••••••
        Mar 30, 2019 · Control person joined · fact
      • W•••••• B••••••• (Executive Vice President) no longer on Schedule A of C••••••• H• S••••••• (listed 2019-01-08, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • Louise Karen Thomas (Chief Compliance Officer) no longer on Schedule A of C••••••• H• S••••••• (listed 2019-01-08, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      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