DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•• C•••••• C•••••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Jan 16, 2004
RAUM
$1.8B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
34%
$630M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.8B as of Mar 31, 2026
Mar 30, 2012$719M then
HNW client RAUM$630M as of Mar 31, 2026
Mar 29, 2018$333M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20130 then
Employees (5.A)9 as of Mar 31, 2026
Mar 26, 20138 then
Private funds2 as of Mar 31, 2026
Mar 30, 20122 then
RAUM +6.5% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $17.5MderivedHNW RAUM over HNW clients
- Average account
- $66.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.3%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
- +6.5%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.2B66%
- High-net-worth individuals$630M34%
- Charitable organizations$5.5M0.3%
- Individual clients
- n/areported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 28reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.34 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••• N••• O••••••• F•••• L•••no longer reported | Hedge Fund | $17.7M | 3 | Mar 30, 2012 |
| F•••• N••• S••• S•••••• F••• L• | Private Equity Fund | $0 | 16 | Mar 29, 2018 |
| F•••• N••• S••••••••• F•••••• L•• | Private Equity Fund | $0 | 4 | Mar 29, 2018 |
| F•••• N••• P•••••••• L•no longer reported | Hedge Fund | $0 | 12 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• C••••••••• S••••• · President, Chief Compliance Officer & Chief Investment Officercontrolsince 02/2002 · owns 75% or more
Entity owners
- T•• E•••••• A• S• M•••• 2••• · T•••••• J. F. M••••, Trustee;direct · owns 5% to 10%
- T•• E•••••• A• S• M•••• 2••• I••••••••• T•••• · T•••••• J. F. M••••, Trustee; E•••••• A. S. M••••, Trusteedirect · owns 5% to 10%
- T•• T•••••• J• F• M•••• 2••• I••••••••• T•••• · E•••••• A. S. M••••, Trustee; T•••••• J. F. M••••, Trusteedirect · owns 5% to 10%
Related persons
Schedule D 7.A
- F•••• N••• S••••••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-26, no on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 49 to 28Mar 26, 2025 to Mar 31, 2026
- Charity clients · 14 to 13Mar 26, 2025 to Mar 31, 2026
- Corporate clients · 5 to 4Mar 26, 2025 to Mar 31, 2026
- HNW clients · 30 to 36Mar 26, 2025 to Mar 31, 2026
- Employees · 10 to 9Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.7B to $1.8BMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $598M to $630MMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $30.5M to $30.5MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $53.0M to $0Mar 26, 2025 to Mar 31, 2026
- RAUM · $1.7B to $1.8BMar 26, 2025 to Mar 31, 2026
- Accounts · 44 to 49Jul 9, 2024 to Mar 26, 2025
- Charity clients · 16 to 14Jul 9, 2024 to Mar 26, 2025
- HNW clients · 32 to 30Jul 9, 2024 to Mar 26, 2025
- Employees · 9 to 10Jul 9, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jul 9, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.5B to $1.7BJul 9, 2024 to Mar 26, 2025
- HNW RAUM · $525M to $598MJul 9, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $25.8M to $30.5MJul 9, 2024 to Mar 26, 2025
- RAUM · $1.5B to $1.7BJul 9, 2024 to Mar 26, 2025
- Accounts · 55 to 44Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 6 to 5Mar 31, 2023 to Mar 27, 2024
- Charity clients · 19 to 16Mar 31, 2023 to Mar 27, 2024
- HNW clients · 29 to 32Mar 31, 2023 to Mar 27, 2024
- Employees · 10 to 9Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.3B to $1.5BMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $416M to $525MMar 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $26.2M to $25.8MMar 31, 2023 to Mar 27, 2024
- RAUM · $1.3B to $1.5BMar 31, 2023 to Mar 27, 2024
- Accounts · 77 to 55Mar 25, 2022 to Mar 31, 2023
- Advisory employees · 7 to 6Mar 25, 2022 to Mar 31, 2023
- Charity clients · 37 to 19Mar 25, 2022 to Mar 31, 2023
- Corporate clients · 6 to 5Mar 25, 2022 to Mar 31, 2023
- HNW clients · 17 to 29Mar 25, 2022 to Mar 31, 2023
- Employees · 11 to 10Mar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.4B to $1.3BMar 25, 2022 to Mar 31, 2023
- HNW RAUM · $501M to $416MMar 25, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $31.7M to $26.2MMar 25, 2022 to Mar 31, 2023
- RAUM · $1.5B to $1.3BMar 25, 2022 to Mar 31, 2023
- Accounts · 88 to 77Mar 30, 2021 to Mar 25, 2022
- Advisory employees · 10 to 7Mar 30, 2021 to Mar 25, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•• C•••••• C••••••••• · Independent Sponsorsshared crd · capital_provider
- C•• C•••••• C••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-400-9550reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-400-9551reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
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
- Wealth manager with institutional or fund businessderiveda 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