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.

Former SEC-registered adviser

Bowling Portfolio Management LLC

Former SEC-registered adviserCincinnati, OhioCRD 133488SEC 801-63696IAPD
Latest filing Mar 1, 2023
First filing on the tape Jan 23, 2012 · 17 filings
RAUM
$555M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$471M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$555M as of Mar 29, 2022
Jan 23, 2012$385M then
HNW client RAUM$471M as of Mar 29, 2022
Jan 31, 2018$492M then
State-registered IARs (5.B.3)2 as of Mar 29, 2022
Feb 6, 20133 then
Employees (5.A)6 as of Mar 29, 2022
Feb 6, 20138 then
Private funds: no history
RAUM +12% over the last fiscal year-3.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$277MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$705,828derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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
Wrap fee program
participatesreportedItem 5.I
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$471M85%
  • Corporations and businesses$65.7M12%
  • Pension and profit-sharing plans$17.8M3.2%
Individual clients
n/areported
HNW clients
315reported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
786reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $9.7M managedreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Charles Darren Kavesh · President/Chief Executive Officer/Chief Investment Officercontrol
        since 11/2020 · owns less than 5%
      • Triston Larry Nakamura · Chief Compliance Officercontrol
        since 01/2023 · owns less than 5%
      • Capal Patricia Powell · Vice Presidentcontrol
        since 10/2016 · owns less than 5%
      Entity owners
      • Ci Private Wealth, LLC · Owner & Managing Member
        direct · owns 75% or more
      • Ci Financial Corp. · Owner
        indirect · owns 75% or more of Ci US Holdings, Inc · public reporting company
      • Ci US Holdings, Inc · Owner
        indirect · owns 75% or more of Cipw Holdings, LLC
      • Ci US, LLC · Owner
        indirect · owns 75% or more of Cipw Holdings, LLC
      • Cipw Holdings, LLC · Owner
        indirect · owns 75% or more of Ci Private Wealth, LLC
      Related persons
      Schedule D 7.A
      • Corient
        investment adviseryRAUM $165B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        Mar 29, 2022 to Nov 7, 2022
      • Accounts · 804 to 786
        Mar 1, 2021 to Mar 29, 2022
      • Corporate clients · 16 to 15
        Mar 1, 2021 to Mar 29, 2022
      • HNW clients · 304 to 315
        Mar 1, 2021 to Mar 29, 2022
      • Pension plan clients · 6 to 4
        Mar 1, 2021 to Mar 29, 2022
      • Discretionary RAUM · $496M to $555M
        Mar 1, 2021 to Mar 29, 2022
      • HNW RAUM · $408M to $471M
        Mar 1, 2021 to Mar 29, 2022
      • Pension RAUM · $34.2M to $17.8M
        Mar 1, 2021 to Mar 29, 2022
      • RAUM · $496M to $555M
        Mar 1, 2021 to Mar 29, 2022
      • Wrap assets (manager) · $8.4M to $9.7M
        Mar 1, 2021 to Mar 29, 2022
      • Accounts · 857 to 804
        Dec 23, 2020 to Mar 1, 2021
      • Corporate clients · 18 to 16
        Dec 23, 2020 to Mar 1, 2021
      • HNW clients · 330 to 304
        Dec 23, 2020 to Mar 1, 2021
      • Pension plan clients · 7 to 6
        Dec 23, 2020 to Mar 1, 2021
      • Discretionary RAUM · $643M to $496M
        Dec 23, 2020 to Mar 1, 2021
      • HNW RAUM · $429M to $408M
        Dec 23, 2020 to Mar 1, 2021
      • Pension RAUM · $32.0M to $34.2M
        Dec 23, 2020 to Mar 1, 2021
      • RAUM · $643M to $496M
        Dec 23, 2020 to Mar 1, 2021
      • Wrap assets (manager) · $9.2M to $8.4M
        Dec 23, 2020 to Mar 1, 2021
      • Advisory employees · 3 to 2
        Jun 26, 2020 to Dec 23, 2020
      • Employees · 8 to 6
        Jun 26, 2020 to Dec 23, 2020
      • State-registered IARs · 3 to 2
        Jun 26, 2020 to Dec 23, 2020
      • Accounts · 887 to 857
        Feb 14, 2019 to Mar 10, 2020
      • HNW clients · 378 to 330
        Feb 14, 2019 to Mar 10, 2020
      • Discretionary RAUM · $616M to $643M
        Feb 14, 2019 to Mar 10, 2020
      • HNW RAUM · $399M to $429M
        Feb 14, 2019 to Mar 10, 2020
      • Pension RAUM · $17.5M to $32.0M
        Feb 14, 2019 to Mar 10, 2020
      • RAUM · $616M to $643M
        Feb 14, 2019 to Mar 10, 2020
      • Wrap assets (manager) · $7.1M to $9.2M
        Feb 14, 2019 to Mar 10, 2020
      • Accounts · 940 to 887
        Jan 31, 2018 to Feb 14, 2019
      • Corporate clients · 19 to 18
        Jan 31, 2018 to Feb 14, 2019
      • HNW clients · 375 to 378
        Jan 31, 2018 to Feb 14, 2019
      • Pension plan clients · 9 to 7
        Jan 31, 2018 to Feb 14, 2019
      • Discretionary RAUM · $804M to $616M
        Jan 31, 2018 to Feb 14, 2019
      • HNW RAUM · $492M to $399M
        Jan 31, 2018 to Feb 14, 2019
      • Pension RAUM · $22.3M to $17.5M
        Jan 31, 2018 to Feb 14, 2019
      • RAUM · $804M to $616M
        Jan 31, 2018 to Feb 14, 2019
      • Wrap assets (manager) · $9.8M to $7.1M
        Jan 31, 2018 to Feb 14, 2019
      • Accounts · 934 to 940
        Jan 18, 2017 to Jan 31, 2018
      • Corporate clients · unset to 19.0
        Jan 18, 2017 to Jan 31, 2018
      Signals
      2 dated events
      • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Bowling Portfolio Management Llc
        Feb 28, 2023 · Control person joined · fact
      • Ann Kathleen Wayner (Llc Member/Executive Committee Member/President, Chief Executive Officer) no longer on Schedule A of Bowling Portfolio Management Llc (listed 2020-06-26, absent 2020-12-23)
        Dec 23, 2020 · Control person left · inference
      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