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•••••• A•••• M•••••••••

Former SEC-registered adviserChicago, IllinoisCRD 126111SEC 801-61970IAPD
Legal name C•••••• A•••• M••••••••• L••
Latest filing Oct 3, 2014
First filing on the tape Mar 21, 2012 · 6 filings
RAUM
$467M
reported, Item 5.F
Discretionary
99%
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
9
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$467M as of Mar 14, 2014
Mar 21, 2012$435M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 14, 2014
Mar 20, 20132 then
Employees (5.A)9 as of Mar 14, 2014
Mar 20, 20139 then
Private funds: no history
RAUM +7.6% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Oct 3, 2014; every figure names its basis
RAUM per advisor
$233MderivedRAUM 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
$585,715derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.6%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 assetsreportedItem 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)
  • 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
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
797reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• J••••••••• · Managing Directorcontrol
    since 12/1999 · owns less than 5%
  • H••••• M••••••• A••• · Managing Director / Chief Compliance Officercontrol
    since 12/1999 · owns less than 5%
  • L•••• K•••••• K•• · Managing Directorcontrol
    since 12/1999 · owns less than 5%
  • B••••••• F••••• E••••• · Majority Owner Of M•••••• I••••••••• H•••••••• I••.control
    since 11/2003 · owns 50% to 75% of M•••••• I••••••••• H•••••••• I••.
Entity owners
  • C••• I••••••• I••• · Owner
    direct · owns 5% to 10%
  • M•••••• A•••• M••••••••• · Owner (Manager)
    direct · owns 75% or more
  • M•••••• I••••••••• H•••••••• I•• · Indirect Owner
    indirect · owns 75% or more of M•••••• A•••• M••••••••• L••
Related persons
Schedule D 7.A
Advisers that list C•••••• A•••• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 804 to 797
    Mar 20, 2013 to Mar 14, 2014
  • Discretionary RAUM · $429M to $462M
    Mar 20, 2013 to Mar 14, 2014
  • Non-discretionary RAUM · $4.9M to $5.0M
    Mar 20, 2013 to Mar 14, 2014
  • RAUM · $434M to $467M
    Mar 20, 2013 to Mar 14, 2014
  • Accounts · 864 to 804
    May 3, 2012 to Mar 20, 2013
  • Advisory employees · unset to 2.0
    May 3, 2012 to Mar 20, 2013
  • Employees · unset to 9.0
    May 3, 2012 to Mar 20, 2013
  • State-registered IARs · unset to 2.0
    May 3, 2012 to Mar 20, 2013
  • Discretionary RAUM · $430M to $429M
    May 3, 2012 to Mar 20, 2013
  • Non-discretionary RAUM · $5.0M to $4.9M
    May 3, 2012 to Mar 20, 2013
  • RAUM · $435M to $434M
    May 3, 2012 to Mar 20, 2013
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