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•••••• C•••••• M••••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Mar 15, 2012 · 49 filings
SEC status approved since Apr 19, 2007
RAUM
$561M
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
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$561M as of Jul 14, 2026
Mar 15, 2012$593M then
HNW client RAUM$0 as of Jul 14, 2026
Mar 23, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Mar 15, 20120 then
Employees (5.A)10 as of Jul 14, 2026
Mar 27, 201316 then
Private funds8 as of Jul 14, 2026
Mar 15, 20122 then
RAUM -40% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 14, 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
- $70.1MderivedRAUM 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
- -35%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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$561M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=1.0derived
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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C•• V••• L•••••• | Securitized Asset Fund | $346M | 20 | Apr 6, 2020 |
| S•••••• C•• V•• L•••••• •••••••• S•••••• C•• I• L••••••• | Securitized Asset Fund | $346M | 20 | Mar 25, 2014 |
| S•••••• C•• V• L•••••• | Securitized Asset Fund | $326M | 1 | Nov 7, 2017 |
| S•••••• C•• I•• L•••••• | Securitized Asset Fund | $299M | 20 | Aug 28, 2014 |
| S•••••• C•• V• L•••••• •••••••• S•••••• C•• I• L••••••• | Securitized Asset Fund | $142M | 20 | Dec 6, 2013 |
| C•••••• L••••• A•••• S••••••••• L•• | Hedge Fund | $31.3M | 20 | Feb 17, 2023 |
| S•••••• C••••• O••••••••• L••••••no longer reported | Hedge Fund | $25.2M | 20 | Jun 3, 2016 |
| C•••••• C••••• O••••••••• L•• | Hedge Fund | $3.6M | 1 | Jan 9, 2024 |
| S•••••• C••••• O••••••••• L•••••• I• | Hedge Fund | $0 | 5 | Mar 17, 2021 |
| C•••••• S••••• C•• L••••••no longer reported | Securitized Asset Fund | $0 | 0 | Mar 15, 2012 |
| A••••••••• G•••• I••••• L••••••no longer reported | Securitized Asset Fund | $0 | 0 | Mar 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• T••••• · Chief Operating Officercontrolsince 05/2013 · owns less than 5%
- C•••••••• A••••••• R•••••• · Chief Executive Off. & Chief Investment Off.controlsince 06/2006 · owns less than 5%
- L•••••••• R••••••• D• · Senior Managing Director, Business Developmentcontrolsince 03/2020 · owns less than 5%
- M••••••• D••••• E••••• · Chief Compliance Officercontrolsince 03/2007 · owns less than 5%
- C•••••••• A••••••• R•••••• · Ownercontrolsince 06/2006 · owns 75% or more of M•••••• H••••••• L••
Entity owners
- M•••••• H••••••• L•• · Managing Memberdirect · owns 75% or more
- S•••••• I••••••••• M••••••••• I• · Owner Of Non-Voting Interestsdirect · owns less than 5%
- S•••••• M••••••••• L•••••• · Owner Of Non-Voting Interestsdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 21, 2026RAUM (Item 5.F) moved from $938,000,000 to $606,000,000 (-35.0%) between the annual amendments of 2025-03-28 and 2026-04-21; the peer median change was +8.0% (672 comparable advisers, 4.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 4.2% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 8Apr 21, 2026 to Jun 30, 2026
- Private funds · 7 to 8Apr 21, 2026 to Jun 30, 2026
- Discretionary RAUM · $606M to $561MApr 21, 2026 to Jun 30, 2026
- Pooled vehicle RAUM · $606M to $561MApr 21, 2026 to Jun 30, 2026
- RAUM · $606M to $561MApr 21, 2026 to Jun 30, 2026
- Private funds · 9 to 7Mar 26, 2026 to Apr 21, 2026
- Discretionary RAUM · $651M to $606MJan 6, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $651M to $606MJan 6, 2026 to Mar 26, 2026
- RAUM · $651M to $606MJan 6, 2026 to Mar 26, 2026
- Accounts · 8 to 7Nov 15, 2025 to Jan 6, 2026
- Discretionary RAUM · $668M to $651MNov 15, 2025 to Jan 6, 2026
- Pooled vehicle RAUM · $668M to $651MNov 15, 2025 to Jan 6, 2026
- RAUM · $668M to $651MNov 15, 2025 to Jan 6, 2026
- Accounts · 7 to 8Aug 26, 2025 to Nov 15, 2025
- Pooled vehicle clients · 7 to 8Aug 26, 2025 to Nov 15, 2025
- Private funds · 8 to 9Aug 26, 2025 to Nov 15, 2025
- Discretionary RAUM · $768M to $668MAug 26, 2025 to Nov 15, 2025
- Pooled vehicle RAUM · $768M to $668MAug 26, 2025 to Nov 15, 2025
- RAUM · $768M to $668MAug 26, 2025 to Nov 15, 2025
- Advisory employees · 10 to 8Mar 28, 2025 to Aug 26, 2025
- Employees · 13 to 10Mar 28, 2025 to Aug 26, 2025
- Discretionary RAUM · $938M to $768MMar 28, 2025 to Aug 26, 2025
- Pooled vehicle RAUM · $938M to $768MMar 28, 2025 to Aug 26, 2025
- RAUM · $938M to $768MMar 28, 2025 to Aug 26, 2025
- Advisory employees · 11 to 10Feb 19, 2025 to Mar 28, 2025
- Pooled vehicle clients · 6 to 7Feb 19, 2025 to Mar 28, 2025
- Employees · 14 to 13Feb 19, 2025 to Mar 28, 2025
- Financial planning clients · unset to Feb 19, 2025 to Mar 28, 2025
- Discretionary RAUM · $937M to $938MFeb 19, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $937M to $938MFeb 19, 2025 to Mar 28, 2025
- RAUM · $937M to $938MFeb 19, 2025 to Mar 28, 2025
- Employees · 17 to 14Mar 27, 2024 to Feb 19, 2025
- Discretionary RAUM · $1.3B to $937MMar 27, 2024 to Feb 19, 2025
- Pooled vehicle RAUM · $1.3B to $937MMar 27, 2024 to Feb 19, 2025
- RAUM · $1.3B to $937MMar 27, 2024 to Feb 19, 2025
- Assets in custody · 186467.0 to unsetMar 20, 2024 to Mar 27, 2024
- Custody of client assets · true to falseMar 20, 2024 to Mar 27, 2024
- Discretionary RAUM · $1.5B to $1.3BMar 20, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $1.5B to $1.3BMar 20, 2024 to Mar 27, 2024
- RAUM · $1.5B to $1.3BMar 20, 2024 to Mar 27, 2024
Signals
3 dated events
- C•••••• C•••••• M••••••••• L•• reported RAUM $937.0M, down 28% from $1.3B (2024-03-27 to 2025-02-19)Feb 19, 2025 · RAUM change · derived
- D Richard Levinson (Senior Managing Director, Business Development) appeared on Schedule A of C•••••• C•••••• M••••••••• L••Mar 24, 2020 · Control person joined · fact
- C•••••• C•••••• M••••••••• L•• reported RAUM $1.4B, up 27% from $1.1B (2018-08-02 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
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
- 212-372-7444reportedpublic record, Form ADV, Jul 14, 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