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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SEC-registered adviser
C••••••• P•••• C•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since Mar 30, 2012
RAUM
$100M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$100M as of Mar 30, 2026
Mar 19, 2013$272M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 19, 20130 then
Employees (5.A)5 as of Mar 30, 2026
Mar 19, 20137 then
Private funds3 as of Mar 30, 2026
Mar 19, 20133 then
RAUM -3.9% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $33.3MderivedRAUM 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
- -3.9%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
- $100M, 2 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- Pooled investment vehicles$100M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $100M for 2 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=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• P•••• M••••• F••• I• L•• | Hedge Fund | $102M | 2 | Feb 14, 2012 |
| C••••••• P•••• O••••••• F••• I• L•• | Hedge Fund | $41.9M | 10 | Feb 14, 2012 |
| C••••••• P•••• F••• I• L• | Hedge Fund | $4.1M | 6 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E••••••••• G•••• S• · Membercontrolsince 09/2003 · owns 25% to 50%
- L••••••• G•••••• · Membercontrolsince 04/2022 · owns 25% to 50%
- S••••••••• M••• · Membercontrolsince 09/2003 · owns 25% to 50%
- Y••••••• M•••••••• L••• · Ccosince 09/2003 · owns less than 5%
Entity owners
- G••••••••• · Shareholderindirect · owns 75% or more of G••••• W••••••••• V••••••••• A•
- G••••• W••••••••• V••••••••• A• · Shareholderindirect · owns 75% or more of H•••••••• B••••••••• A•
- H•••••••• B••••••••• A• · Shareholderindirect · owns 75% or more of S••••••••• C•••••• B••• A•
- S••••••••• C•••••• B••• A• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- C••••••• P•••• A••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $104M to $100MMar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $104M to $100MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $104M to $100MMar 31, 2025 to Mar 30, 2026
- RAUM · $104M to $100MMar 31, 2025 to Mar 30, 2026
- Accounts · 4 to 3May 1, 2024 to Mar 31, 2025
- Advisory activities · 2 to 1May 1, 2024 to Mar 31, 2025
- Assets in custody · $102M to $104MMay 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $103M to $104MMay 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $102M to $104MMay 1, 2024 to Mar 31, 2025
- RAUM · $103M to $104MMay 1, 2024 to Mar 31, 2025
- Assets in custody · $110M to $102MApr 3, 2023 to May 1, 2024
- Discretionary RAUM · $111M to $103MApr 3, 2023 to May 1, 2024
- Pooled vehicle RAUM · $110M to $102MApr 3, 2023 to May 1, 2024
- RAUM · $111M to $103MApr 3, 2023 to May 1, 2024
- Assets in custody · $112M to $110MJul 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $114M to $111MJul 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $112M to $110MJul 15, 2022 to Mar 31, 2023
- RAUM · $114M to $111MJul 15, 2022 to Mar 31, 2023
- Assets in custody · $75.5M to $112MMar 31, 2022 to Jul 15, 2022
- Discretionary RAUM · $78.3M to $114MMar 31, 2022 to Jul 15, 2022
- Pooled vehicle RAUM · $75.5M to $112MMar 31, 2022 to Jul 15, 2022
- RAUM · $78.3M to $114MMar 31, 2022 to Jul 15, 2022
- Corporate clients · 0.0 to unsetMar 30, 2021 to Mar 31, 2022
- Assets in custody · $88.7M to $75.5MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $93.6M to $78.3MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $88.7M to $75.5MMar 30, 2021 to Mar 31, 2022
- RAUM · $93.6M to $78.3MMar 30, 2021 to Mar 31, 2022
- Corporate clients · unset to 0.0Mar 31, 2020 to Mar 30, 2021
- Assets in custody · $112M to $88.7MMar 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $117M to $93.6MMar 31, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $112M to $88.7MMar 31, 2020 to Mar 30, 2021
- RAUM · $117M to $93.6MMar 31, 2020 to Mar 30, 2021
- Assets in custody · $211M to $112MApr 2, 2019 to Mar 31, 2020
- Discretionary RAUM · $216M to $117MApr 2, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $211M to $112MApr 2, 2019 to Mar 31, 2020
- RAUM · $216M to $117MApr 2, 2019 to Mar 31, 2020
- Advisory employees · 4 to 3Mar 31, 2018 to Mar 27, 2019
- Assets in custody · $143M to $211MMar 31, 2018 to Mar 27, 2019
- Discretionary RAUM · $148M to $216MMar 31, 2018 to Mar 27, 2019
Signals
1 dated events
- Guenter Leitold (Member) appeared on Schedule A of C••••••• P•••• C•••••• L••Jul 15, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-277-5967reportedpublic record, Form ADV, Mar 30, 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