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••••••• L••

Former SEC-registered adviserLondon, CRD 133461SEC 801-63739IAPD
Latest filing Mar 7, 2013
First filing on the tape Mar 9, 2012 · 8 filings
RAUM
$8.0B
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
11
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$11B as of Feb 14, 2013
Mar 9, 2012$347M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 14, 2013
Mar 9, 20120 then
Employees (5.A): 11
Private funds: 5
RAUM +2202% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2013; 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
$887MderivedRAUM 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
+2973%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 businesses and institutions, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
9reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• P••••••• L•Hedge Fund$33.7M60Mar 9, 2012
      C•••••••• I• L•• C•••• G•Hedge Fund$18.4M24Mar 9, 2012
      C•••••••• C•••••• L••• C•••• G•Hedge Fund$11.8M40Mar 9, 2012
      C•••••••• C•••••• L••• C•••• A•Hedge Fund$518,29122Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• L•••••••• R•••••• · Chief Executive/Chief Compliance Officercontrol
        since 11/2002 · owns less than 5%
      Entity owners
      • C•••••••• A••••••• ••• I• L•• · Controlling Partner
        direct · owns 75% or more
      • C•••••••• A••••••• •••••••• L••• · Shareholder
        indirect · owns 75% or more of C•••••••• A••••••• ••• I• L••
      Related persons
      Schedule D 7.A
      Advisers that list C•••••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $7.8B to $8.0B
        Feb 28, 2013 to Mar 7, 2013
      • RAUM · $7.8B to $8.0B
        Feb 28, 2013 to Mar 7, 2013
      • Discretionary RAUM · $11B to $7.8B
        Feb 14, 2013 to Feb 28, 2013
      • RAUM · $11B to $7.8B
        Feb 14, 2013 to Feb 28, 2013
      • Accounts · 10 to 9
        Jan 17, 2013 to Feb 14, 2013
      • Discretionary RAUM · $5.6B to $11B
        Jan 17, 2013 to Feb 14, 2013
      • RAUM · $5.6B to $11B
        Jan 17, 2013 to Feb 14, 2013
      • Advisory employees · unset to 5.0
        Aug 27, 2012 to Jan 17, 2013
      • Employees · unset to 11.0
        Aug 27, 2012 to Jan 17, 2013
      • Related bank · false to true
        Aug 27, 2012 to Jan 17, 2013
      • Accounts · 14 to 10
        Apr 3, 2012 to Aug 27, 2012
      • Private funds · 10 to unset
        Apr 3, 2012 to Aug 27, 2012
      • Discretionary RAUM · $6.8B to $5.6B
        Apr 3, 2012 to Aug 27, 2012
      • RAUM · $6.8B to $5.6B
        Apr 3, 2012 to Aug 27, 2012
      • Accounts · 11 to 14
        Mar 9, 2012 to Mar 28, 2012
      • Private funds · 5 to 10
        Mar 9, 2012 to Mar 28, 2012
      • Discretionary RAUM · $347M to $6.8B
        Mar 9, 2012 to Mar 28, 2012
      • RAUM · $347M to $6.8B
        Mar 9, 2012 to Mar 28, 2012
      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