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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
C••••••••• I••••••••• A•••••••• L••
Latest filing Oct 18, 2016
First filing on the tape Mar 1, 2012 · 13 filings
RAUM
$105M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$105M as of Mar 11, 2016
Mar 1, 2012$68.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 11, 2016
Mar 1, 20120 then
Employees (5.A)7 as of Mar 11, 2016
Feb 24, 20146 then
Private funds: no history
RAUM -2.2% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Oct 18, 2016; every figure names its basis
- RAUM per advisor
- $34.8MderivedRAUM 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
- $123,669derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
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
- 845reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- J•••• P••• B••••• to C••••• A•••••• N••••••• L••Feb 28, 2017 · Other
- M•••••• R•• B••••• to C••••• A•••••• N••••••• L••Feb 28, 2017 · Other
Joined, latest
- M•••••• R•• B••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 31, 2014 · Other
- J•••• P••• B••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 3, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••• A•••••• N••••••• L••Feb 28, 2017 · Baxter, Mn
- 2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 7, 2016 · Litchfield, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• P••• · President, Chief Compliance Officercontrolsince 01/2008 · owns less than 5%
- B•••••• J••••• P••• · President/Shareholdercontrolsince 10/2002 · owns 75% or more of B••••• G••••• I•••
- L••••• D••••• M•••••• · President/Shareholdercontrolsince 04/2003 · owns 75% or more of L•••• M••••••••• I•••
Entity owners
- C••••••••• A•••••••• L•• · Managing Memberdirect · owns 75% or more
- B••••• G••••• I••• · Memberindirect · owns 50% to 75% of C••••••••• Advisers, LLC
- L•••• M••••••••• I••• · Memberindirect · owns 50% to 75% of C••••••••• Advisers, LLC
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Belle Plaine, MN
What changed
consecutive filings, newest first
- Accounts · 1,012 to 845Jan 4, 2016 to Mar 11, 2016
- Advisory employees · 4 to 3Jan 4, 2016 to Mar 11, 2016
- BD registered reps · 4 to 3Jan 4, 2016 to Mar 11, 2016
- State-registered IARs · 4 to 3Jan 4, 2016 to Mar 11, 2016
- Discretionary RAUM · $107M to $105MJan 4, 2016 to Mar 11, 2016
- RAUM · $107M to $105MJan 4, 2016 to Mar 11, 2016
- Accounts · 937 to 1,012Mar 6, 2014 to Mar 11, 2015
- Advisory activities · 4 to 3Mar 6, 2014 to Mar 11, 2015
- Employees · 6 to 7Mar 6, 2014 to Mar 11, 2015
- Discretionary RAUM · $109M to $107MMar 6, 2014 to Mar 11, 2015
- RAUM · $109M to $107MMar 6, 2014 to Mar 11, 2015
- Accounts · 930 to 937Mar 12, 2013 to Feb 24, 2014
- Advisory activities · 3 to 4Mar 12, 2013 to Feb 24, 2014
- Insurance-licensed employees · 3 to 2Mar 12, 2013 to Feb 24, 2014
- State-registered IARs · 3 to 4Mar 12, 2013 to Feb 24, 2014
- Discretionary RAUM · $113M to $109MMar 12, 2013 to Feb 24, 2014
- RAUM · $113M to $109MMar 12, 2013 to Feb 24, 2014
- Accounts · 710 to 930Apr 20, 2012 to Mar 12, 2013
- Advisory employees · unset to 4.0Apr 20, 2012 to Mar 12, 2013
- BD registered reps · unset to 4.0Apr 20, 2012 to Mar 12, 2013
- Employees · unset to 6.0Apr 20, 2012 to Mar 12, 2013
- State-registered IARs · 0 to 3Apr 20, 2012 to Mar 12, 2013
- Discretionary RAUM · $68.5M to $113MApr 20, 2012 to Mar 12, 2013
- RAUM · $68.5M to $113MApr 20, 2012 to Mar 12, 2013
- Business name · C••••••••• I••••••••• A••••••• L•• to C••••••••• I••••••••• A•••••••• L••Mar 20, 2012 to Apr 5, 2012
- Legal name · C••••••••• I••••••••• A••••••• L•• to C••••••••• I••••••••• A•••••••• L••Mar 20, 2012 to Apr 5, 2012
Signals
1 dated events
- C••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 12, 2013 · First SEC registration · 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