DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• B•••• A•••• M••••••••• •••••
Legal name C• C•••••• A•••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Mar 13, 2012 · 20 filings
SEC status approved since May 13, 2008
RAUM
$139M
reported, Item 5.F
Discretionary
1.4%
of RAUM
Private clients
83%
$116M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$139M as of Mar 13, 2026
Mar 13, 2012$213M then
HNW client RAUM$114M as of Mar 13, 2026
Mar 27, 2018$141M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Mar 22, 20130 then
Employees (5.A)2 as of Mar 13, 2026
Mar 22, 20133 then
Private funds: no history
RAUM +21% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.4%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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
- High-net-worth individuals$114M82%
- Charitable organizations$22.9M17%
- Individuals$1.4M1.0%
- Individual clients
- 15reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 59reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• M••••••• G••••••• | New York, Ny | Jul 16, 2013 | 32 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D•••• N•• · Managing Membercontrolsince 05/2008 · owns 75% or more
- G•••••••• L•••••••• M••••••• · Chief Compliance Officersince 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 55 to 59Mar 18, 2025 to Mar 13, 2026
- HNW clients · 39 to 42Mar 18, 2025 to Mar 13, 2026
- Individual clients · 14 to 15Mar 18, 2025 to Mar 13, 2026
- Discretionary RAUM · $1.8M to $2.0MMar 18, 2025 to Mar 13, 2026
- HNW RAUM · $91.4M to $114MMar 18, 2025 to Mar 13, 2026
- Individual RAUM · $1.6M to $1.4MMar 18, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $112M to $137MMar 18, 2025 to Mar 13, 2026
- RAUM · $114M to $139MMar 18, 2025 to Mar 13, 2026
- Accounts · 53 to 55Dec 19, 2024 to Mar 18, 2025
- Individual clients · 12 to 14Dec 19, 2024 to Mar 18, 2025
- Financial planning clients · unset to Dec 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $1.9M to $1.8MDec 19, 2024 to Mar 18, 2025
- HNW RAUM · $83.4M to $91.4MDec 19, 2024 to Mar 18, 2025
- Individual RAUM · $1.5M to $1.6MDec 19, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $108M to $112MDec 19, 2024 to Mar 18, 2025
- RAUM · $110M to $114MDec 19, 2024 to Mar 18, 2025
- Accounts · 52 to 53Mar 24, 2023 to Mar 8, 2024
- HNW clients · 41 to 39Mar 24, 2023 to Mar 8, 2024
- Individual clients · 9 to 12Mar 24, 2023 to Mar 8, 2024
- Discretionary RAUM · $2.5M to $1.9MMar 24, 2023 to Mar 8, 2024
- HNW RAUM · $75.8M to $83.4MMar 24, 2023 to Mar 8, 2024
- Individual RAUM · $845,481 to $1.5MMar 24, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $94.1M to $108MMar 24, 2023 to Mar 8, 2024
- RAUM · $96.5M to $110MMar 24, 2023 to Mar 8, 2024
- Accounts · 51 to 52Mar 25, 2022 to Mar 24, 2023
- Individual clients · 8 to 9Mar 25, 2022 to Mar 24, 2023
- Discretionary RAUM · $2.6M to $2.5MMar 25, 2022 to Mar 24, 2023
- HNW RAUM · $77.0M to $75.8MMar 25, 2022 to Mar 24, 2023
- Individual RAUM · $831,393 to $845,481Mar 25, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $95.0M to $94.1MMar 25, 2022 to Mar 24, 2023
- RAUM · $97.6M to $96.5MMar 25, 2022 to Mar 24, 2023
- Accounts · 46 to 51Mar 29, 2021 to Mar 25, 2022
- HNW clients · 38 to 41Mar 29, 2021 to Mar 25, 2022
- Individual clients · 6 to 8Mar 29, 2021 to Mar 25, 2022
- Discretionary RAUM · $2.1M to $2.6MMar 29, 2021 to Mar 25, 2022
- HNW RAUM · $71.9M to $77.0MMar 29, 2021 to Mar 25, 2022
- Individual RAUM · $614,751 to $831,393Mar 29, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $87.1M to $95.0MMar 29, 2021 to Mar 25, 2022
- RAUM · $89.2M to $97.6MMar 29, 2021 to Mar 25, 2022
- Accounts · 53 to 46Feb 12, 2021 to Mar 29, 2021
Signals
No event on the tape.
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•••INVESTMENTS.COMreportedpublic record, Form ADV, Mar 13, 2026
- Principal office phone
- 646-798-3850reportedpublic record, Form ADV, Mar 13, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026