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••••••••• W••••• M•••••••••

Former SEC-registered adviserLutherville, MarylandCRD 150146SEC 801-70123IAPD
Legal name C••••••••• W••••• M••••••••• L••
Latest filing Jun 26, 2015
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$210M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$210M as of Apr 1, 2015
Mar 29, 2012$137M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2015
Mar 28, 20130 then
Employees (5.A)1 as of Apr 1, 2015
Mar 28, 20131 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2015; 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
$937,500derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+14%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
224reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • T••••••• S••••••• L•••• · Managing Member, Chief Compliance Officercontrol
        since 03/2009 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 198 to 224
        Mar 27, 2014 to Apr 1, 2015
      • Non-discretionary RAUM · $185M to $210M
        Mar 27, 2014 to Apr 1, 2015
      • RAUM · $185M to $210M
        Mar 27, 2014 to Apr 1, 2015
      • Accounts · 181 to 198
        Mar 28, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $161M to $185M
        Mar 28, 2013 to Mar 27, 2014
      • RAUM · $161M to $185M
        Mar 28, 2013 to Mar 27, 2014
      • Accounts · 173 to 181
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 1.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 1.0
        Mar 29, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $137M to $161M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $137M to $161M
        Mar 29, 2012 to Mar 28, 2013
      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