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••• L••
Asset manager (funds and pooled vehicles)Washington, District of ColumbiaCRD 144535SEC 801-69737IAPD
Latest filing Mar 18, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Nov 10, 2008
RAUM
$256M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$256M as of Mar 18, 2026
Mar 30, 2012$9.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Apr 1, 20130 then
Employees (5.A)5 as of Mar 18, 2026
Apr 1, 20137 then
Private funds5 as of Mar 18, 2026
Mar 30, 201220 then
RAUM -0.5% over the last fiscal year-3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- $51.1MderivedRAUM 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
- -0.5%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$256M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- 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=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
25 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• C••••• I••• L•••no longer reported | Securitized Asset Fund | $426M | 1 | Mar 30, 2012 |
| C•••••••• C••••• V•• L••• | Securitized Asset Fund | $245M | 1 | Mar 30, 2012 |
| G•••••• C•• 2••••• L••no longer reported | Securitized Asset Fund | $207M | 1 | Mar 30, 2012 |
| G••••• 2••••• L•••no longer reported | Securitized Asset Fund | $63.2M | 2 | May 15, 2012 |
| C•••• G• S••• 2••••• L•••no longer reported | Securitized Asset Fund | $56.1M | 5 | Mar 30, 2012 |
| G••••• 2••••• L•••no longer reported | Securitized Asset Fund | $43.2M | 1 | Mar 30, 2012 |
| S•••• R••• E••••• C•• I• L•••no longer reported | Securitized Asset Fund | $18.3M | 1 | Mar 30, 2012 |
| C•••• 2••••••• L•••no longer reported | Securitized Asset Fund | $16.5M | 3 | Mar 30, 2012 |
| G••••• 2••••• L••• | Securitized Asset Fund | $11.9M | 2 | Mar 30, 2012 |
| C•••••••• C••••• I•• L••• | Securitized Asset Fund | $6.0M | 4 | Mar 30, 2012 |
| C•••• 2••••• | Securitized Asset Fund | $2.7M | 2 | Mar 30, 2012 |
| C•••••••• C••••• I• L•• | Securitized Asset Fund | $2.1M | 1 | Mar 30, 2012 |
| C•••••••• E•••••••• Y•••• D••• F••• I• L•no longer reported | Hedge Fund | $1.9M | 10 | Mar 30, 2012 |
| C•••• 2•••••• L••• | Securitized Asset Fund | $1.4M | 5 | Mar 30, 2012 |
| G••••••• R••• E••••• C•• 2•••••• L••• | Securitized Asset Fund | $307,769 | 1 | Apr 1, 2013 |
| C•••• C•• 2••••• | Securitized Asset Fund | $210,343 | 8 | Mar 30, 2012 |
| S•••• 2••••• | Securitized Asset Fund | $208,149 | 1 | Mar 25, 2021 |
| G••••••• R••• E••••• C•• 2•••••• L••• | Securitized Asset Fund | $106,600 | 1 | Apr 1, 2013 |
| A•••• 2•••••• | Securitized Asset Fund | $84,378 | 1 | Mar 30, 2012 |
| R•• C•• 2•••••no longer reported | Securitized Asset Fund | $78,608 | 1 | Mar 30, 2012 |
| C•••• 2•••••• L•••no longer reported | Securitized Asset Fund | $21,167 | 2 | Mar 30, 2012 |
| C•••• 2•••••• L•••no longer reported | Securitized Asset Fund | $13,007 | 2 | Mar 30, 2012 |
| C•••• G• S••• 2••••• L•no longer reported | Securitized Asset Fund | $0 | 1 | Mar 30, 2012 |
| C•••• 2•••••• L•••no longer reported | Securitized Asset Fund | $0 | 1 | Mar 30, 2012 |
| G••••••• R••• E••••• C•• 2•••••• L•••no longer reported | Securitized Asset Fund | $0 | 1 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• H••••••• T••••••• · Senior Vice President, Associate General Counselcontrolsince 07/2013 · owns less than 5%
- C••••••••• B••••• T••••• · Chief Financial Officer, Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
- I••••••••• D••••• B•••• · Chief Executive Officercontrolsince 09/2010 · owns less than 5%
- Z••• G••••••• N•• · Senior Vice Presidentcontrolsince 02/2016 · owns less than 5%
Entity owners
- C• F•••••••• S••••••• L•• · Sole Memberdirect · owns 75% or more
- B• P•••••• S••••• · Partnerindirect · owns 75% or more of S•••••••• I••••••••• P•••••••• L•••
- C• F•••••••• S••••••• H•••••• C•••••• L•• · Memberindirect · owns 75% or more of C••• H••••••• L••
- C••• H••••••• L•• · Memberindirect · owns 75% or more of C• F•••••••• S••••••• L••
- F••••••• C••••• O••••••••• F••• •• L• · Memberindirect · owns 25% to 50% of G••••• C• U•• I••••••••• H••••••• L••
- F••••••• I••••••••• F••• V• •••• A• L• · Memberindirect · owns 25% to 50% of G••••• P•• H••••••• L••
- F•• S•• L••• · Memberindirect · owns 25% to 50% of G••••• C• U•• I••••••••• H••••••• L••
- G••••• A••••••••• L•• · Sole Memberindirect · owns 75% or more of C• F•••••••• S••••••• H•••••• C•••••• L••
- G••••• C• H••••••• L•• · Memberindirect · owns 50% to 75% of P••• H••••• L••
- G••••• C• U•• I••••••••• H••••••• L•• · Memberindirect · owns 50% to 75% of G••••• C• H••••••• L••
- G••••• P•• H••••••• L•• · Memberindirect · owns 50% to 75% of P••• H••••• L••
- P••• H••••• L•• · Sole Memberindirect · owns 75% or more of G••••• A••••••••• L••
- S•••••••• I••••••••• P•••••••• L••• · Partnerindirect · owns 75% or more of F•• S•• L•••
Related persons
Schedule D 7.A
- C••••••••• I•••••••• A••••• L••real estaten
- C• F•••••••• S••••••• L••investment advisery
- C••• • R••• L••investment companyn
- G• F•••• A•••• M••••••••• L••investment advisery
- G• O••••••••• G•• L••investment advisery
Advisers that list C••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Mar 25, 2025 to Mar 18, 2026
- Accounts · 7 to 5Mar 25, 2025 to Mar 18, 2026
- Corporate clients · 1.0 to unsetMar 25, 2025 to Mar 18, 2026
- Pooled vehicle clients · 7 to 5Mar 25, 2025 to Mar 18, 2026
- Private funds · 7 to 5Mar 25, 2025 to Mar 18, 2026
- Discretionary RAUM · $257M to $256MMar 25, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $257M to $256MMar 25, 2025 to Mar 18, 2026
- RAUM · $257M to $256MMar 25, 2025 to Mar 18, 2026
- Accounts · 13 to 7Nov 7, 2024 to Mar 25, 2025
- Pooled vehicle clients · 13 to 7Nov 7, 2024 to Mar 25, 2025
- Financial planning clients · unset to Nov 7, 2024 to Mar 25, 2025
- Private funds · 11 to 7Nov 7, 2024 to Mar 25, 2025
- Discretionary RAUM · $270M to $257MNov 7, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $270M to $257MNov 7, 2024 to Mar 25, 2025
- RAUM · $270M to $257MNov 7, 2024 to Mar 25, 2025
- Employees · 6 to 5Jun 5, 2023 to Mar 13, 2024
- Discretionary RAUM · $285M to $270MJun 5, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $285M to $270MJun 5, 2023 to Mar 13, 2024
- RAUM · $285M to $270MJun 5, 2023 to Mar 13, 2024
- Accounts · 15 to 13Nov 11, 2022 to Mar 21, 2023
- Business name · C•••••••• I••••••••• L•• to C••• L••Nov 11, 2022 to Mar 21, 2023
- Pooled vehicle clients · 15 to 13Nov 11, 2022 to Mar 21, 2023
- Legal name · C•••••••• I••••••••• L•• to C••• L••Nov 11, 2022 to Mar 21, 2023
- Private funds · 13 to 11Nov 11, 2022 to Mar 21, 2023
- Discretionary RAUM · $309M to $285MNov 11, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $309M to $285MNov 11, 2022 to Mar 21, 2023
- RAUM · $309M to $285MNov 11, 2022 to Mar 21, 2023
- Accounts · 18 to 15Mar 25, 2021 to Mar 28, 2022
- Corporate clients · 2 to 1Mar 25, 2021 to Mar 28, 2022
- Pooled vehicle clients · 18 to 15Mar 25, 2021 to Mar 28, 2022
- Employees · 7 to 6Mar 25, 2021 to Mar 28, 2022
- Private funds · 16 to 13Mar 25, 2021 to Mar 28, 2022
- Discretionary RAUM · $325M to $309MMar 25, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $325M to $309MMar 25, 2021 to Mar 28, 2022
- RAUM · $325M to $309MMar 25, 2021 to Mar 28, 2022
- Corporate clients · unset to 2.0Jan 8, 2021 to Mar 25, 2021
- Employees · 6 to 7Jan 8, 2021 to Mar 25, 2021
- Private funds · 15 to 16Jan 8, 2021 to Mar 25, 2021
- Discretionary RAUM · $410M to $325MJan 8, 2021 to Mar 25, 2021
- Pooled vehicle RAUM · $410M to $325MJan 8, 2021 to Mar 25, 2021
Signals
6 dated events
- Nmn Guangyu Zhu (Senior Vice President) appeared on Schedule A of C••• L••Jun 5, 2023 · Control person joined · fact
- Phillip Daniel Warcholak (Managing Director) no longer on Schedule A of C••• L•• (listed 2023-03-21, absent 2023-06-05)Jun 5, 2023 · Control person left · inference
- C••• L•• reported RAUM $409.8M, down 40% from $679.8M (2019-03-28 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- C••• L•• reported RAUM $679.8M, down 37% from $1.1B (2018-06-05 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- C••• L•• reported RAUM $1.1B, down 45% from $2.0B (2017-03-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- C•••••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 26, 2015 · Succession (Item 4) · 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
- Principal office phone
- 202-715-9500reportedpublic record, Form ADV, Mar 18, 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