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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••• P•••••••• M••••••••• L••••••

Former SEC-registered adviserCRD 148094SEC 801-69684IAPD
Latest filing Jul 31, 2019
First filing on the tape Apr 3, 2013 · 15 filings
RAUM
$700,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$700,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$700,000 as of Jul 31, 2019
Apr 3, 2013$6.9M then
HNW client RAUM$0 as of Jul 31, 2019
Apr 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 31, 2019
Apr 3, 20130 then
Employees (5.A)1 as of Jul 31, 2019
Apr 3, 20132 then
Private funds: no history
RAUM +6.1% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 2019; 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
$87,500derivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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
  • Individuals$700,000100%
Individual clients
8reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• W••••••• J••• · Presidentcontrol
        since 02/2007 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to 1-10
        Apr 30, 2018 to Jul 31, 2019
      • HQ city · NASSAU to unset
        Apr 30, 2018 to Jul 31, 2019
      • Discretionary RAUM · $660,000 to $700,000
        Apr 30, 2018 to Jul 31, 2019
      • Individual RAUM · $660,000 to $700,000
        Apr 30, 2018 to Jul 31, 2019
      • RAUM · $660,000 to $700,000
        Apr 30, 2018 to Jul 31, 2019
      • Related adviser · false to true
        Apr 30, 2018 to Jul 31, 2019
      • Accounts · 10 to 8
        Jun 30, 2017 to Apr 30, 2018
      • Advisory employees · 2 to 1
        Jun 30, 2017 to Apr 30, 2018
      • Charity clients · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • Corporate clients · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • HNW clients · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • Individual clients · unset to 8.0
        Jun 30, 2017 to Apr 30, 2018
      • Pension plan clients · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • Employees · 2 to 1
        Jun 30, 2017 to Apr 30, 2018
      • Other offices · unset to 1.0
        Jun 30, 2017 to Apr 30, 2018
      • Discretionary RAUM · $750,000 to $660,000
        Jun 30, 2017 to Apr 30, 2018
      • HNW RAUM · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • Individual RAUM · unset to 660000.0
        Jun 30, 2017 to Apr 30, 2018
      • Pension RAUM · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jun 30, 2017 to Apr 30, 2018
      • RAUM · $750,000 to $660,000
        Jun 30, 2017 to Apr 30, 2018
      • Accounts · 33 to 10
        Mar 29, 2016 to Jun 30, 2017
      • Discretionary RAUM · $2.3M to $750,000
        Mar 29, 2016 to Jun 30, 2017
      • RAUM · $2.3M to $750,000
        Mar 29, 2016 to Jun 30, 2017
      • Accounts · 75 to 33
        Jan 28, 2016 to Mar 29, 2016
      • Discretionary RAUM · $10.0M to $2.3M
        Jan 28, 2016 to Mar 29, 2016
      • RAUM · $10.0M to $2.3M
        Jan 28, 2016 to Mar 29, 2016
      • Business name · C••• T•••••• A••••••• to C••• P•••••••• M••••••••• L••••••
        Jul 7, 2015 to Sep 14, 2015
      • Legal name · C••• T•••••• A••••••• (BAHAMAS) L•••••• to C••• P•••••••• M••••••••• L••••••
        Jul 7, 2015 to Sep 14, 2015
      • Accounts · 51 to 75
        Jan 30, 2015 to Mar 31, 2015
      • Discretionary RAUM · $4.0M to $10.0M
        Jan 30, 2015 to Mar 31, 2015
      • RAUM · $4.0M to $10.0M
        Jan 30, 2015 to Mar 31, 2015
      • HQ city · unset to NASSAU
        Nov 26, 2014 to Jan 30, 2015
      • Accounts · 78 to 51
        Apr 3, 2013 to Mar 31, 2014
      • Discretionary RAUM · $6.9M to $4.0M
        Apr 3, 2013 to Mar 31, 2014
      • RAUM · $6.9M to $4.0M
        Apr 3, 2013 to Mar 31, 2014
      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.
      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