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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Former SEC-registered adviser
C•••• H••• A••••••••• L••
Latest filing Dec 9, 2019
First filing on the tape Mar 30, 2012 · 41 filings
RAUM
$211M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
56%
$118M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$27.6M gross assets
History
41 filings and snapshots on the tape
RAUM$211M as of Mar 28, 2019
Mar 30, 2012$1.0B then
HNW client RAUM$98.0M as of Mar 28, 2019
Mar 29, 2018$846M then
State-registered IARs (5.B.3)11 as of Mar 28, 2019
Apr 3, 20139 then
Employees (5.A)16 as of Mar 28, 2019
Apr 3, 20139 then
Private funds7 as of Mar 28, 2019
Mar 30, 201210 then
RAUM -83% over the last fiscal year-44% a year over threeIARs 14 to 11offices 2 to 0
Practice profile
derived from the filing of Dec 9, 2019; every figure names its basis
- RAUM per advisor
- $19.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $771,926derivedHNW RAUM over HNW clients
- Average account
- $609,758derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -83%derivedbetween the last two annual amendments
- Advisor growth, one year
- -21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $27.6M, 5 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
- 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)
- 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
- High-net-worth individuals$98.0M46%
- Corporations and businesses$33.2M16%
- Pooled investment vehicles$27.6M13%
- Individuals$20.4M9.7%
- Charitable organizations$19.5M9.3%
- Banks and thrifts$10.5M5.0%
- Pension and profit-sharing plans$1.7M0.8%
- Individual clients
- 189reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 346reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.6M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- C••••••••• I••••• E••••••• to P••••••• I••••••••• L••Mar 13, 2019 · Other
- L•••• N• B••••••• to G••••••• F••••••••Jan 25, 2019 · Other
- M••• O• M••••• to G••••••• F••••••••Jan 25, 2019 · Other
- A••• T••••• G•••••••• to V•••••• C•••••• M••••••••• L•Dec 11, 2018 · Other
- D••••• A•••• J•••• to V•••••• C•••••• M••••••••• L•Dec 3, 2018 · Other
- K••••• V•••••••• to J••• M••••• S••••••••• L••Nov 12, 2018 · Other
- D••••••• F•••••• to P••••••• I••••••••• L••Apr 18, 2018 · Other
- J••• C•••••• K•••••• to P••••••• I••••••••• L••Apr 17, 2017 · Other
- R•••• J•• P••••••• to I••••••••• C••••••• L••Feb 23, 2017 · Other
- A••• •••• C••• to P••••••• I••••••••• L••Feb 1, 2017 · Other
Joined, latest
- L•••• N• B••••••• from C•••••• A•••• M••••••••• L••Jul 3, 2017 · Other
- M••• O• M••••• from C•••••• A•••• M••••••••• L••Jul 3, 2017 · Other
- K••••• V•••••••• from C••••• I••••••••• A••••••• L••Dec 16, 2016 · Other
- A••• T••••• G•••••••• from C•••••••• G••••• M•••••• I•••Jul 19, 2011 · Other
- C••••••••• I••••• E••••••• from C•••• H••• A••••••••• I••Jun 2, 2008 · Other
- R•••• J•• P••••••• from C•••• H••• A••••••••• I••Jun 2, 2008 · Other
- A••• •••• C••• from C•••• H••• A••••••••• I••Jun 2, 2008 · Other
- D••••••• F•••••• from C•••• H••• A••••••••• I••Jun 2, 2008 · Other
- D••••• A•••• J•••• from C•••• H••• A••••••••• I••Jun 2, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for G••••••• F••••••••Jan 25, 2019 · Chicago, Il
- 2 left for V•••••• C•••••• M••••••••• L•Dec 3, 2018 · Chicago, Il
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• M••••• F••• L•no longer reported | Hedge Fund | $25.5M | 78 | Mar 30, 2012 |
| S••••••••• F•••••• O••••••••• M••••• F••• L•no longer reported | Hedge Fund | $2.9M | 77 | Mar 30, 2012 |
| P•••••• M••••• F••• L• | Hedge Fund | $6,945 | 75 | Mar 30, 2012 |
| P•••••• Q• M••••• F••• L• | Hedge Fund | $1,198 | 41 | Mar 30, 2012 |
| R•• O••••••••• F••• L••no longer reported | Real Estate Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• G•••••• B•••• · Directorcontrolsince 03/2019 · owns less than 5%
- C••••••• J•••• F•••••• · President/Managercontrolsince 04/2018 · owns less than 5%
- H••••••• E•••• B••••••• · Directorcontrolsince 03/2019 · owns less than 5%
- K••••••• M••••••• F•••••• · Directorcontrolsince 03/2019 · owns less than 5%
- L•••• B••••• D•••• · Directorcontrolsince 03/2019 · owns less than 5%
- R•••••••• J•••••••• W•••••• · Directorcontrolsince 03/2019 · owns less than 5%
- W•••••• J•••••• M••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- Z••••••• T•••• C•••••• · Chief Financial Officercontrolsince 06/2017 · owns less than 5%
Entity owners
- F•••• T•••• A••••••••• H•••••••• L•• ••• F••• T•••• B•••• N••••••• A••••••••• · Shareholderdirect · owns 75% or more · public reporting company
- F•••• T•••• B•••••• · Shareholderindirect · owns 75% or more of F•••• T•••• F•••••••• C••••••••• · public reporting company
- F•••• T•••• B•••• N••••••• A••••••••• · Shareholderindirect · owns 75% or more of W••••• • V••• H•••••••• L•• ••• F•••• T•••• B•••• N••••••• A••••••••• · public reporting company
- F•••• T•••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of F•••• T•••• B•••• N••••••• A••••••••• · public reporting company
- W••••• • V••• H•••••••• L•• ••• F•••• T•••• B•••• N••••••• A••••••••• · Shareholderindirect · owns 75% or more of F•••• T•••• A••••••••• H•••••••• L•• ••• F••• T•••• B•••• N••••••• A••••••••• · public reporting company
Related persons
Schedule D 7.A
- C••••••• C••••••• I•••investment adviserbanknRAUM $3.9B
- E••• I•••••••• S•••••••• A•••••• L••real estaten
- F•••• T•••• B•••bankpooled vehicle sponsory
- F•••• T•••• I•••••••• A•••••• I•••real estaten
- F•••• T•••• S••••••••• I•••broker-dealerinvestment advisernRAUM $11B
- F••••••• S••••• A••••••• I•••investment advisernRAUM $4.5B
- M••••••••• A•••••••investment advisernRAUM $5.9B
- R• S••••••• L••bankpooled vehicle sponsory
- R••• M••••• I•••••••• A•••••• I•••real estaten
- T•• R••••••••• C••••••••• O• A••••••investment advisernRAUM $632M
Advisers that list C•••• H••• A••••••••• L•• as a related person
- 170314 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 4 to 1May 28, 2019 to Dec 9, 2019
- Other offices · 2 to 0May 28, 2019 to Dec 9, 2019
- Wrap assets (manager) · 11944706.0 to unsetMay 28, 2019 to Dec 9, 2019
- Wrap assets (sponsor) · 0.0 to unsetMay 28, 2019 to Dec 9, 2019
- Accounts · 1,282 to 346Jul 2, 2018 to Mar 28, 2019
- Advisory employees · 17 to 10Jul 2, 2018 to Mar 28, 2019
- Charity clients · unset to 6.0Jul 2, 2018 to Mar 28, 2019
- Corporate clients · unset to 14.0Jul 2, 2018 to Mar 28, 2019
- HNW clients · 205 to 127Jul 2, 2018 to Mar 28, 2019
- Individual clients · 256 to 189Jul 2, 2018 to Mar 28, 2019
- Pension plan clients · 6.0 to unsetJul 2, 2018 to Mar 28, 2019
- Pooled vehicle clients · 11 to 5Jul 2, 2018 to Mar 28, 2019
- Assets in custody · $26.5M to $27.6MJul 2, 2018 to Mar 28, 2019
- Employees · 22 to 16Jul 2, 2018 to Mar 28, 2019
- Insurance-licensed employees · 1 to 2Jul 2, 2018 to Mar 28, 2019
- State-registered IARs · 15 to 11Jul 2, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.2B to $199MJul 2, 2018 to Mar 28, 2019
- HNW RAUM · $796M to $98.0MJul 2, 2018 to Mar 28, 2019
- Individual RAUM · $75.8M to $20.4MJul 2, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $71.0M to $12.4MJul 2, 2018 to Mar 28, 2019
- Pension RAUM · $52.1M to $1.7MJul 2, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $29.2M to $27.6MJul 2, 2018 to Mar 28, 2019
- RAUM · $1.2B to $211MJul 2, 2018 to Mar 28, 2019
- Related broker-dealer · false to trueJul 2, 2018 to Mar 28, 2019
- Wrap assets (manager) · $13.3M to $11.9MJul 2, 2018 to Mar 28, 2019
- Advisory employees · 16 to 17Mar 29, 2018 to Apr 4, 2018
- HNW clients · 206 to 205Mar 29, 2018 to Apr 4, 2018
- Individual clients · 255 to 256Mar 29, 2018 to Apr 4, 2018
- Pension plan clients · 5 to 6Mar 29, 2018 to Apr 4, 2018
- Employees · 20 to 22Mar 29, 2018 to Apr 4, 2018
- State-registered IARs · 14 to 15Mar 29, 2018 to Apr 4, 2018
- Discretionary RAUM · $1.2B to $1.2BMar 29, 2018 to Apr 4, 2018
- HNW RAUM · $846M to $796MMar 29, 2018 to Apr 4, 2018
- Individual RAUM · $86.0M to $75.8MMar 29, 2018 to Apr 4, 2018
- Pension RAUM · $51.8M to $52.1MMar 29, 2018 to Apr 4, 2018
- Pooled vehicle RAUM · $29.3M to $29.2MMar 29, 2018 to Apr 4, 2018
- RAUM · $1.2B to $1.2BMar 29, 2018 to Apr 4, 2018
- HNW clients · 0 to 206Dec 15, 2017 to Mar 29, 2018
- Individual clients · 0 to 255Dec 15, 2017 to Mar 29, 2018
- Pension plan clients · 0 to 5Dec 15, 2017 to Mar 29, 2018
Signals
12 dated events
- Francis Michael Kennedy (Director) appeared on Schedule A of C•••• H••• A••••••••• L••Mar 28, 2019 · Control person joined · fact
- Brady Gerald Coogan (Director) appeared on Schedule A of C•••• H••• A••••••••• L••Mar 28, 2019 · Control person joined · fact
- Benjamin Eric Housman (Director) appeared on Schedule A of C•••• H••• A••••••••• L••Mar 28, 2019 · Control person joined · fact
- Daryl Brian Lamb (Director) appeared on Schedule A of C•••• H••• A••••••••• L••Mar 28, 2019 · Control person joined · fact
- William Jonathan Reynolds (Director) appeared on Schedule A of C•••• H••• A••••••••• L••Mar 28, 2019 · Control person joined · fact
- C•••• H••• A••••••••• L•• reported RAUM $211.0M, down 83% from $1.2B (2018-07-02 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Irving Christopher Engelman (Chief Investment Officer/Manager) no longer on Schedule A of C•••• H••• A••••••••• L•• (listed 2018-07-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Elizabeth Jill York (Manager) no longer on Schedule A of C•••• H••• A••••••••• L•• (listed 2018-07-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Steven Mitchell Feiger (Manager) no longer on Schedule A of C•••• H••• A••••••••• L•• (listed 2018-07-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Alexander Mark Hoppe (Manager) no longer on Schedule A of C•••• H••• A••••••••• L•• (listed 2018-07-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Dee Lynn Lavender (Chief Operating Officer/Manager) no longer on Schedule A of C•••• H••• A••••••••• L•• (listed 2018-07-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- C•••• H••• A••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 30, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- C•••• H••• A••••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
C•••• H••• A••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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