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•••••••• D••••• C••••••• L•••

Former SEC-registered adviserOak Brook, IllinoisCRD 126953SEC 801-62553IAPD
Latest filing Mar 13, 2019
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$2.6B
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
28
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$2.6B gross assets
History
12 filings and snapshots on the tape
RAUM$2.6B as of Mar 13, 2019
Mar 29, 2012$29.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2019
Mar 29, 20120 then
Employees (5.A)28 as of Mar 13, 2019
Mar 20, 201323 then
Private funds8 as of Mar 13, 2019
Mar 30, 20151 then
RAUM +27% over the last fiscal year+72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2019; 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
$322MderivedRAUM 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
+27%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 pooled vehiclesreportedItem 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
  • Pooled investment vehicles$2.6B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• D••••• C•• X••••• L•••Securitized Asset Fund$76.5M2Mar 13, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• G••••••• R••••• · Co-Headcontrol
        since 07/2018 · owns less than 5%
      • T••••••• J•••• P••• · Co-Headcontrol
        since 07/2018 · owns less than 5%
      • B•••• E••••• · Sole Membercontrol
        since 07/2005 · owns 75% or more of F••• L••• G• L••
      • B•••• E••••• · Limited Partnercontrol
        since 07/2005 · owns 75% or more of F••• L••• L•••
      • B•••• E••••• · Sole Membercontrol
        since 07/2005 · owns 75% or more of T••• L••• G• L••
      • B••••••• D••••••• K••••• · Limited Partnercontrol
        since 01/1998 · owns 25% to 50% of C•••••••• A••••••••• H•••••••• L•••
      • B••••••• D••••••• K••••• · Limited Partnercontrol
        since 01/2016 · owns 25% to 50% of C•••••••• M••••••••• L•••
      • B••••••• D••••••• K••••• · Sole Shareholdercontrol
        since 12/1997 · owns 75% or more of C•••••••• I••••••••• I•••
      • C•••••• G••••••• R••••• · Trusteecontrol
        since 02/2008 · owns F of G•••••• R• C••••• R•••••••• T•••• U•••• F••••••• 1•• 2•••
      • T••••••• J•••• P••• · Trusteecontrol
        since 04/2001 · owns F of J••• P• T•••••• R•••••••• T•••• U•••• A•••• 3• 2•••
      • M•••••••• S••••• A••••• · Chief Compliance Officer
        since 07/2011 · owns less than 5%
      • M••••• K•••• · Chief Credit Officer
        since 07/2018 · owns less than 5%
      Entity owners
      • C•••••••• D••••• •••• L••• · General Partner
        direct · owns less than 5%
      • C•••••••• M••••••••• L••• · Limited Partner
        direct · owns 25% to 50%
      • G•••••• R• C••••• R•••••••• T•••• U•••• F••••••• 1•• 2••• · Limited Partner
        direct · owns 10% to 25%
      • J••• P• T•••••• R•••••••• T•••• U•••• A•••• 3• 2••• · Limited Partner
        direct · owns 10% to 25%
      • C•••••••• A••••••••• H•••••••• L••• · Limited Partner
        indirect · owns 75% or more of C•••••••• D••••• •••• L•••
      • C•••••••• I••••••••• I••• · General Partner
        indirect · owns F of C•••••••• D••••• •••• L•••
      • C•••••••• I••••••••• I••• · General Partner
        indirect · owns F of C•••••••• M••••••••• L•••
      • C•••••••• I••••••••• I••• · General Partner
        indirect · owns F of C•••••••• A••••••••• H•••••••• L•••
      • F••• L••• G• L•• · General Partner
        indirect · owns F of F••• L••• L•••
      • F••• L••• L••• · Limited Partner
        indirect · owns 75% or more of T••• L•••• L•••
      • T••• L••• G• L•• · General Partner
        indirect · owns F of T••• L•••• L•••
      • T••• L•••• L••• · Limited Partner
        indirect · owns 25% to 50% of C•••••••• A••••••••• H•••••••• L•••
      • T••• L•••• L••• · Limited Partner
        indirect · owns 25% to 50% of C•••••••• M••••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list C•••••••• D••••• C••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 8
        Jul 2, 2018 to Mar 13, 2019
      • Advisory employees · 18 to 20
        Jul 2, 2018 to Mar 13, 2019
      • Pooled vehicle clients · 6 to 8
        Jul 2, 2018 to Mar 13, 2019
      • Employees · 26 to 28
        Jul 2, 2018 to Mar 13, 2019
      • Private funds · 6 to 8
        Jul 2, 2018 to Mar 13, 2019
      • Discretionary RAUM · $2.0B to $2.6B
        Jul 2, 2018 to Mar 13, 2019
      • Pooled vehicle RAUM · $2.0B to $2.6B
        Jul 2, 2018 to Mar 13, 2019
      • RAUM · $2.0B to $2.6B
        Jul 2, 2018 to Mar 13, 2019
      • Accounts · 4 to 6
        Mar 24, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 6.0
        Mar 24, 2017 to Mar 26, 2018
      • Employees · 25 to 26
        Mar 24, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Private funds · 4 to 6
        Mar 24, 2017 to Mar 26, 2018
      • Discretionary RAUM · $1.1B to $2.0B
        Mar 24, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 2025018594.0
        Mar 24, 2017 to Mar 26, 2018
      • RAUM · $1.1B to $2.0B
        Mar 24, 2017 to Mar 26, 2018
      • Related bank · false to true
        Mar 24, 2017 to Mar 26, 2018
      • Accounts · 2 to 4
        Mar 29, 2016 to Mar 24, 2017
      • Advisory employees · 17 to 18
        Mar 29, 2016 to Mar 24, 2017
      • Employees · 24 to 25
        Mar 29, 2016 to Mar 24, 2017
      • Private funds · 2 to 4
        Mar 29, 2016 to Mar 24, 2017
      • Discretionary RAUM · $510M to $1.1B
        Mar 29, 2016 to Mar 24, 2017
      • RAUM · $510M to $1.1B
        Mar 29, 2016 to Mar 24, 2017
      • Accounts · 1 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Advisory employees · 16 to 17
        Mar 30, 2015 to Mar 29, 2016
      • Employees · 23 to 24
        Mar 30, 2015 to Mar 29, 2016
      • Private funds · 1 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $121M to $510M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $121M to $510M
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $112M to $121M
        Nov 10, 2014 to Mar 30, 2015
      • RAUM · $112M to $121M
        Nov 10, 2014 to Mar 30, 2015
      • Advisory employees · 14 to 16
        Mar 4, 2014 to Nov 10, 2014
      • Assets in custody · $13.6M to $0
        Mar 4, 2014 to Nov 10, 2014
      • Custody of client assets · true to false
        Mar 4, 2014 to Nov 10, 2014
      • Employees · 21 to 23
        Mar 4, 2014 to Nov 10, 2014
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 4, 2014 to Nov 10, 2014
      • Private funds · unset to 1
        Mar 4, 2014 to Nov 10, 2014
      • Discretionary RAUM · $15.7M to $112M
        Mar 4, 2014 to Nov 10, 2014
      • RAUM · $15.7M to $112M
        Mar 4, 2014 to Nov 10, 2014
      • Succession · false to true
        Mar 4, 2014 to Nov 10, 2014
      Signals
      3 dated events
      • C•••••••• D••••• C••••••• L••• reported RAUM $2.6B, up 27% from $2.0B (2018-07-02 to 2019-03-13)
        Mar 13, 2019 · RAUM change · derived
      • C•••••••• D••••• C••••••• L••• reported RAUM $2.0B, up 83% from $1.1B (2017-03-24 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      • D••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 10, 2014 · Succession (Item 4) · 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