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.
SEC-registered adviser
Cbf Advisors, LLC
Latest filing Mar 31, 2026
First filing on the tape Aug 6, 2019 · 20 filings
SEC status approved since Sep 3, 2019
RAUM
$46.6M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$46.6M as of Mar 31, 2026
Mar 4, 2020$55.4M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 4, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 4, 20200 then
Employees (5.A)8 as of Mar 31, 2026
Mar 4, 20206 then
Private funds2 as of Mar 31, 2026
Mar 4, 20201 then
RAUM +0.0% over the last fiscal year+6.3% 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $46.6MderivedRAUM 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
- +0.0%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
- Custody
- $42.6M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$46.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.6M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
- Alison Elizabeth Burkett to Snowden Capital Advisors LLCApr 28, 2011 · Other
- John Logan Morris to Snowden Capital Advisors LLCApr 28, 2011 · Other
- George Cordell Easter to Advisors Asset Management, Inc.Oct 9, 2009 · Other
- John Smith Swarts to Independent Alliance Advisors, LLCFeb 24, 2009 · Other
- Christopher Barry Roy to Windrose Advisors LLCOct 24, 2006 · Other
Joined, latest
- Jonathan Moore Chesshire from Bny Mellon Advisors, Inc.Mar 18, 2010 · Other
- John Smith Swarts from Bny Mellon Advisors, Inc.Oct 4, 2005 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Nova Prime Fund I ,LP | Venture Capital Fund | $45.5M | 10 | Sep 13, 2023 |
| Clearbrook Global Multi-Strategy Fund, LLC | Hedge Fund | $41.4M | 6 | Mar 28, 2012 |
| Clearbrook Innovation Fund LP | Private Equity Fund | $0 | 0 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Alan Walter Gilmore · Ccocontrolsince 01/2022 · owns less than 5%
- Wakefield Elliott Wislar · Ceocontrolsince 10/2021 · owns less than 5%
- Wakefield Elliott Wislar · Elected Managercontrolsince 10/2010 · owns F of Clearbrook LLC
Entity owners
- Clearbrook LLC · Memberdirect · owns 75% or more
- Clearbrook Holdings LLC · Memberindirect · owns 50% to 75% of Clearbrook LLC
Related persons
Schedule D 7.A
- Clearbrook Investment Consulting LLCinvestment advisernRAUM $14B
- Clearbrook Investment Solutions LLCinvestment advisernRAUM $150M
- Novaprime Ventures Gp, LLCpooled vehicle sponsorn
Advisers that list Cbf Advisors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 1Apr 1, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Dec 6, 2024 to Apr 1, 2025
- Discretionary RAUM · $41.4M to $46.6MDec 6, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $41.4M to $46.6MDec 6, 2024 to Apr 1, 2025
- RAUM · $41.4M to $46.6MDec 6, 2024 to Apr 1, 2025
- Pooled vehicle clients · 2 to 1Jan 10, 2024 to Mar 30, 2024
- Insurance-licensed employees · 1 to 0Jan 10, 2024 to Mar 30, 2024
- Private funds · 3 to 2Jan 10, 2024 to Mar 30, 2024
- Discretionary RAUM · $38.8M to $41.4MJan 10, 2024 to Mar 30, 2024
- Pooled vehicle RAUM · $38.8M to $41.4MJan 10, 2024 to Mar 30, 2024
- RAUM · $38.8M to $41.4MJan 10, 2024 to Mar 30, 2024
- HQ city · STAMFORD to NEW YORKSep 13, 2023 to Jan 10, 2024
- HQ state · CT to NYSep 13, 2023 to Jan 10, 2024
- Private funds · 2 to 3Mar 31, 2023 to Sep 13, 2023
- Accounts · 10 to 12Nov 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1 to 2Nov 30, 2022 to Mar 31, 2023
- Private funds · 1 to 2Nov 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $42.6M to $38.8MNov 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $42.6M to $38.8MNov 30, 2022 to Mar 31, 2023
- RAUM · $42.6M to $38.8MNov 30, 2022 to Mar 31, 2023
- HQ city · NEW YORK to STAMFORDMar 23, 2022 to Sep 9, 2022
- HQ state · NY to CTMar 23, 2022 to Sep 9, 2022
- Accounts · 1 to 10Jan 18, 2022 to Mar 23, 2022
- Advisory employees · 2 to 5Jan 18, 2022 to Mar 23, 2022
- Assets in custody · $55.4M to $42.6MJan 18, 2022 to Mar 23, 2022
- Insurance-licensed employees · 0 to 1Jan 18, 2022 to Mar 23, 2022
- Discretionary RAUM · $56.8M to $42.6MJan 18, 2022 to Mar 23, 2022
- Pooled vehicle RAUM · $56.8M to $42.6MJan 18, 2022 to Mar 23, 2022
- RAUM · $56.8M to $42.6MJan 18, 2022 to Mar 23, 2022
- Advisory employees · 3 to 2Oct 21, 2020 to Mar 31, 2021
- Employees · 6 to 8Oct 21, 2020 to Mar 31, 2021
- Discretionary RAUM · $55.4M to $56.8MOct 21, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $55.4M to $56.8MOct 21, 2020 to Mar 31, 2021
- RAUM · $55.4M to $56.8MOct 21, 2020 to Mar 31, 2021
- Assets in custody · $54.2M to $55.4MAug 6, 2019 to Mar 4, 2020
- Discretionary RAUM · $54.2M to $55.4MAug 6, 2019 to Mar 4, 2020
- Pooled vehicle RAUM · $54.2M to $55.4MAug 6, 2019 to Mar 4, 2020
- RAUM · $54.2M to $55.4MAug 6, 2019 to Mar 4, 2020
- Related broker-dealer · true to falseAug 6, 2019 to Mar 4, 2020
Signals
9 dated events
- Deforrest James Bishop (Elected Manager) no longer on Schedule A of Cbf Advisors, Llc (listed 2024-03-30, absent 2024-11-25)Nov 25, 2024 · Control person left · inference
- Joseph Adam Ellenbogen (Cco) no longer on Schedule A of Cbf Advisors, Llc (listed 2021-10-22, absent 2022-01-13)Jan 13, 2022 · Control person left · inference
- Alan Walter Gilmore (Cco) appeared on Schedule A of Cbf Advisors, LlcJan 13, 2022 · Control person joined · fact
- Chan Timothy Ng (Managing Director And Investment Committee Member) no longer on Schedule A of Cbf Advisors, Llc (listed 2021-08-05, absent 2021-10-22)Oct 22, 2021 · Control person left · inference
- Joseph Adam Ellenbogen (Cco) appeared on Schedule A of Cbf Advisors, LlcAug 5, 2021 · Control person joined · fact
- Alan Walter Gilmore (Chief Compliance Officer) no longer on Schedule A of Cbf Advisors, Llc (listed 2021-03-31, absent 2021-08-05)Aug 5, 2021 · Control person left · inference
- Chan Timothy Ng (Managing Director And Investment Committee Member) appeared on Schedule A of Cbf Advisors, LlcMar 31, 2021 · Control person joined · fact
- Michael Evan Smallwood (Supervisor / Operations Manager) no longer on Schedule A of Cbf Advisors, Llc (listed 2020-10-21, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Cbf Advisors, Llc filed its initial SEC registration (Form ADV)Aug 6, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- CBF Advisors, LLC · Private Equityshared crd · organization
- CBF Advisors, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- CLEARBROOKGLOBAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (212) 359-0290reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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