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•• C•••• F•••••••• S•••••••• I•••
Latest filing Jan 8, 2025
First filing on the tape Mar 30, 2012 · 12 filings
SEC status approved since Jul 26, 2021
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$146M as of Jan 8, 2025
Mar 30, 2012$45.6M then
HNW client RAUM$143M as of Jan 8, 2025
Mar 29, 2022$126M then
State-registered IARs (5.B.3)1 as of Jan 8, 2025
Mar 30, 20120 then
Employees (5.A)1 as of Jan 8, 2025
Mar 29, 20221 then
Private funds: no history
RAUM +0.0% over the last fiscal year+3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 8, 2025; every figure names its basis
- RAUM per advisor
- $146MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $899,765derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M98%
- Individuals$3.2M2.2%
- Individual clients
- 6reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 162reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••• C••••••••• · President/Chief Compliance Officercontrolsince 09/1998 · owns 75% or more
Related persons
Schedule D 7.A
- C•••• P•• L••insurancey
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HQ city · unset to Mar 26, 2024 to Jan 8, 2025
- HQ state · unset to Mar 26, 2024 to Jan 8, 2025
- Accounts · 160 to 162Mar 27, 2023 to Mar 26, 2024
- HNW clients · 32 to 33Mar 27, 2023 to Mar 26, 2024
- Individual clients · 7 to 6Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $115M to $146MMar 27, 2023 to Mar 26, 2024
- HNW RAUM · $111M to $143MMar 27, 2023 to Mar 26, 2024
- Individual RAUM · $3.1M to $3.2MMar 27, 2023 to Mar 26, 2024
- RAUM · $115M to $146MMar 27, 2023 to Mar 26, 2024
- Accounts · 164 to 160Aug 18, 2022 to Mar 27, 2023
- HNW clients · 31 to 32Aug 18, 2022 to Mar 27, 2023
- Individual clients · 10 to 7Aug 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $132M to $115MAug 18, 2022 to Mar 27, 2023
- HNW RAUM · $126M to $111MAug 18, 2022 to Mar 27, 2023
- Individual RAUM · $6.1M to $3.1MAug 18, 2022 to Mar 27, 2023
- RAUM · $132M to $115MAug 18, 2022 to Mar 27, 2023
- Other offices · 2 to 1Mar 29, 2022 to Aug 18, 2022
- HNW clients · 33 to 31Aug 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $120M to $132MAug 25, 2021 to Mar 29, 2022
- HNW RAUM · $114M to $126MAug 25, 2021 to Mar 29, 2022
- Individual RAUM · $5.7M to $6.1MAug 25, 2021 to Mar 29, 2022
- RAUM · $120M to $132MAug 25, 2021 to Mar 29, 2022
- Accounts · 168 to 164Jun 20, 2012 to Jun 24, 2021
- Advisory employees · unset to 1.0Jun 20, 2012 to Jun 24, 2021
- Advisory activities · 2 to 3Jun 20, 2012 to Jun 24, 2021
- Charity clients · unset to 0.0Jun 20, 2012 to Jun 24, 2021
- Corporate clients · unset to 0.0Jun 20, 2012 to Jun 24, 2021
- HNW clients · unset to 33.0Jun 20, 2012 to Jun 24, 2021
- Individual clients · unset to 10.0Jun 20, 2012 to Jun 24, 2021
- Pension plan clients · unset to 0.0Jun 20, 2012 to Jun 24, 2021
- Pooled vehicle clients · unset to 0.0Jun 20, 2012 to Jun 24, 2021
- Employees · unset to 1.0Jun 20, 2012 to Jun 24, 2021
- Financial planning clients · 0 to 26-50Jun 20, 2012 to Jun 24, 2021
- State-registered IARs · 0 to 1Jun 20, 2012 to Jun 24, 2021
- Other offices · unset to 2.0Jun 20, 2012 to Jun 24, 2021
- Discretionary RAUM · $45.6M to $120MJun 20, 2012 to Jun 24, 2021
- HNW RAUM · unset to 114129927.0Jun 20, 2012 to Jun 24, 2021
- Individual RAUM · unset to 5665570.0Jun 20, 2012 to Jun 24, 2021
- Pension RAUM · unset to 0.0Jun 20, 2012 to Jun 24, 2021
- Pooled vehicle RAUM · unset to 0.0Jun 20, 2012 to Jun 24, 2021
Signals
2 dated events
- C•• C•••• F•••••••• S•••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $145.8M)May 2, 2025 · Left the SEC roster · derived
- C•• C•••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Jun 24, 2021 · First SEC registration · fact
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