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••••••••• C•••••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 148500SEC 801-69663IAPD
Legal name C••••••••• C•••••• M••••••••• H••••••• L••
Latest filing Apr 24, 2017
First filing on the tape Mar 30, 2012 · 25 filings
RAUM
$14B
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
49
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$84.9M gross assets
History
25 filings and snapshots on the tape
RAUM$14B as of Mar 30, 2017
Mar 30, 2012$11B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 26, 20130 then
Employees (5.A)49 as of Mar 30, 2017
Mar 26, 201346 then
Private funds1 as of Mar 30, 2017
Mar 30, 20121 then
RAUM +11% over the last fiscal year+9.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2017; 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
$237MderivedRAUM 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
+11%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$106M, 2 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
59reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$106M for 2 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• C•••••• M••••••••• L•••••••• E••••••• I•••• F••• L•no longer reportedOther Private Fund$218M4Mar 30, 2012
      C••••••••• U••• E••••• M••••• N•••••• F•••• L••Hedge Fund$84.9M1Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• H•••••• A•••••• · Elected Manager, Senior Vice President, Chief Operating Officer, Chief Financial Officercontrol
        since 10/2015 · owns less than 5%
      • C•••••••• R••••• A••• · Corporate Vice President, Chief Compliance Officercontrol
        since 05/2016 · owns less than 5%
      • H••••• F••••••• M•••••• · Elected Managercontrol
        since 02/2017 · owns less than 5%
      • H•••••• T•••••• A•••••••• · Elected Managercontrol
        since 02/2014 · owns less than 5%
      • H•••• Y•••••••• N•• · Chairman Of The Board Of Managers, Elected Managercontrol
        since 06/2015 · owns less than 5%
      • L••••••• K•••• C• · Elected Managercontrol
        since 02/2017 · owns less than 5%
      • P•••••• L••••••• M••••• · Elected Manager, Acting Chief Executive Officercontrol
        since 07/2016 · owns less than 5%
      • Y•••• J•• S••• · Elected Managercontrol
        since 02/2017 · owns less than 5%
      Entity owners
      • N•• Y••• L••• I••••••••• M••••••••• H••••••• L•• · Sole Member
        direct · owns 75% or more
      • N•• Y••• L••• I•••••••• C•••••• · Indirect Interest Holder
        indirect · owns 75% or more of N•• Y••• L••• I••••••••• M••••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C••••••••• C•••••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 66 to 59
        Aug 15, 2016 to Mar 30, 2017
      • Assets in custody · $99.5M to $106M
        Aug 15, 2016 to Mar 30, 2017
      • Employees · 46 to 49
        Aug 15, 2016 to Mar 30, 2017
      • Discretionary RAUM · $14B to $14B
        Aug 15, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $20.0M to $21.0M
        Aug 15, 2016 to Mar 30, 2017
      • RAUM · $14B to $14B
        Aug 15, 2016 to Mar 30, 2017
      • Accounts · 64 to 66
        May 19, 2016 to Aug 2, 2016
      • Advisory employees · 17 to 18
        May 19, 2016 to Aug 2, 2016
      • BD registered reps · 4 to 7
        May 19, 2016 to Aug 2, 2016
      • Employees · 45 to 46
        May 19, 2016 to Aug 2, 2016
      • Discretionary RAUM · $13B to $14B
        May 19, 2016 to Aug 2, 2016
      • Non-discretionary RAUM · $21.8M to $20.0M
        May 19, 2016 to Aug 2, 2016
      • RAUM · $13B to $14B
        May 19, 2016 to Aug 2, 2016
      • Accounts · 48 to 64
        Jan 8, 2016 to Mar 30, 2016
      • Advisory employees · 19 to 17
        Jan 8, 2016 to Mar 30, 2016
      • BD registered reps · 5 to 4
        Jan 8, 2016 to Mar 30, 2016
      • Assets in custody · $61.2M to $99.5M
        Jan 8, 2016 to Mar 30, 2016
      • Employees · 49 to 45
        Jan 8, 2016 to Mar 30, 2016
      • Discretionary RAUM · $13B to $13B
        Jan 8, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $25.7M to $21.8M
        Jan 8, 2016 to Mar 30, 2016
      • RAUM · $13B to $13B
        Jan 8, 2016 to Mar 30, 2016
      • Discretionary RAUM · $12B to $13B
        Mar 30, 2015 to Jun 25, 2015
      • RAUM · $12B to $13B
        Mar 30, 2015 to Jun 25, 2015
      • Accounts · 46 to 48
        Dec 4, 2014 to Mar 30, 2015
      • Advisory employees · 17 to 19
        Dec 4, 2014 to Mar 30, 2015
      • BD registered reps · 3 to 5
        Dec 4, 2014 to Mar 30, 2015
      • Assets in custody · $29.0M to $61.2M
        Dec 4, 2014 to Mar 30, 2015
      • Employees · 46 to 49
        Dec 4, 2014 to Mar 30, 2015
      • Discretionary RAUM · $11B to $12B
        Dec 4, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $24.0M to $25.7M
        Dec 4, 2014 to Mar 30, 2015
      • RAUM · $11B to $12B
        Dec 4, 2014 to Mar 30, 2015
      • Accounts · 44 to 46
        Jul 16, 2014 to Oct 17, 2014
      • BD registered reps · 4 to 3
        Jul 16, 2014 to Oct 17, 2014
      • Employees · 47 to 46
        Jul 16, 2014 to Oct 17, 2014
      • Discretionary RAUM · $12B to $11B
        Jul 16, 2014 to Oct 17, 2014
      • Non-discretionary RAUM · $23.7M to $24.0M
        Jul 16, 2014 to Oct 17, 2014
      • RAUM · $12B to $11B
        Jul 16, 2014 to Oct 17, 2014
      • Accounts · 45 to 44
        Mar 28, 2014 to Jul 16, 2014
      • Advisory employees · 16 to 17
        Mar 28, 2014 to Jul 16, 2014
      • Assets in custody · $28.0M to $29.0M
        Mar 28, 2014 to Jul 16, 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