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•••••• M•••••• A•••••• • A•••••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 150316SEC 801-70237IAPD
Latest filing May 11, 2015
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$168M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$168M as of May 11, 2015
Mar 30, 2012$21.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2015
Mar 30, 20120 then
Employees (5.A)7 as of May 11, 2015
Mar 28, 201328 then
Private funds2 as of Mar 28, 2013
Mar 30, 20123 then
RAUM -29% over the last fiscal year+98% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 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
$33.7MderivedRAUM 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
-29%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 assetsreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 5.G
Custody
$168M, 5 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)
  • 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)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$168M for 5 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• M••••••• ••••••••• S•• L•• S••••••••• P•••••••• T•••no longer reportedHedge Fund$40.0M4Mar 30, 2012
      C•••••• M••••••• ••••••••• S•• L•• S••••••••• P•••••••• V•••no longer reportedHedge Fund$27.3M1Jul 31, 2012
      C•••••• M••••••• ••••••••• S•• L•• S••••••••• P•••••••• M•••no longer reportedHedge Fund$15.6M1Mar 30, 2012
      C•••••• M••••••• ••••••••• S•• L•• S••••••••• P•••••••• B••••no longer reportedHedge Fund$2.9M3Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••• J••••• A• · Presidentcontrol
        since 03/2014 · owns less than 5%
      • S••••• D••••• K••••• · Chief Operating Officer & Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      Entity owners
      • K••••• O••••••• L•• · Managing Member
        direct · owns 75% or more
      • C••••• I••• · Member
        indirect · owns 75% or more of K••••• O••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• M•••••• A•••••• • A•••••••• P•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Apr 3, 2014 to May 11, 2015
      • Advisory employees · 6 to 5
        Apr 3, 2014 to May 11, 2015
      • BD registered reps · 6 to 1
        Apr 3, 2014 to May 11, 2015
      • Business name · C•••••• M•••••• A•••••• • A•••••••• P•••••••• L••• to C•••••• M•••••• A•••••• • A•••••••• P•••••••• L••
        Apr 3, 2014 to May 11, 2015
      • Assets in custody · $236M to $168M
        Apr 3, 2014 to May 11, 2015
      • Employees · 14 to 7
        Apr 3, 2014 to May 11, 2015
      • Legal name · C•••••• M•••••• A•••••• • A•••••••• P•••••••• L••• to C•••••• M•••••• A•••••• • A•••••••• P•••••••• L••
        Apr 3, 2014 to May 11, 2015
      • Discretionary RAUM · $0 to $168M
        Apr 3, 2014 to May 11, 2015
      • Non-discretionary RAUM · $236M to $0
        Apr 3, 2014 to May 11, 2015
      • RAUM · $236M to $168M
        Apr 3, 2014 to May 11, 2015
      • Succession · true to false
        Apr 3, 2014 to May 11, 2015
      • Accounts · 2 to 6
        Oct 29, 2013 to Apr 3, 2014
      • Advisory employees · 10 to 6
        Oct 29, 2013 to Apr 3, 2014
      • BD registered reps · 12 to 6
        Oct 29, 2013 to Apr 3, 2014
      • Assets in custody · unset to 235624809.0
        Oct 29, 2013 to Apr 3, 2014
      • Custody of client assets · false to true
        Oct 29, 2013 to Apr 3, 2014
      • Employees · 31 to 14
        Oct 29, 2013 to Apr 3, 2014
      • HQ city · RYE BROOK to NEW YORK
        Oct 29, 2013 to Apr 3, 2014
      • Organization form · Limited Partnership to Limited Liability Company
        Oct 29, 2013 to Apr 3, 2014
      • Private funds · 2 to unset
        Oct 29, 2013 to Apr 3, 2014
      • Discretionary RAUM · $67.2M to $0
        Oct 29, 2013 to Apr 3, 2014
      • Non-discretionary RAUM · $0 to $236M
        Oct 29, 2013 to Apr 3, 2014
      • RAUM · $67.2M to $236M
        Oct 29, 2013 to Apr 3, 2014
      • Succession · false to true
        Oct 29, 2013 to Apr 3, 2014
      • Employees · 28 to 31
        Mar 28, 2013 to Apr 30, 2013
      • Discretionary RAUM · $57.7M to $67.2M
        Mar 28, 2013 to Apr 30, 2013
      • RAUM · $57.7M to $67.2M
        Mar 28, 2013 to Apr 30, 2013
      • Accounts · 4 to 2
        Sep 7, 2012 to Mar 28, 2013
      • Advisory employees · unset to 10.0
        Sep 7, 2012 to Mar 28, 2013
      • BD registered reps · unset to 12.0
        Sep 7, 2012 to Mar 28, 2013
      • Employees · unset to 28.0
        Sep 7, 2012 to Mar 28, 2013
      • Financial planning clients · 1-10 to unset
        Sep 7, 2012 to Mar 28, 2013
      • Private funds · 4 to 2
        Sep 7, 2012 to Mar 28, 2013
      • Discretionary RAUM · $68.3M to $57.7M
        Sep 7, 2012 to Mar 28, 2013
      • RAUM · $68.3M to $57.7M
        Sep 7, 2012 to Mar 28, 2013
      • Business name · C•••••• M•••••• A•••••• P••••••• L•• to C•••••• M•••••• A•••••• • A•••••••• P•••••••• L•••
        Jul 31, 2012 to Aug 30, 2012
      • Legal name · C•••••• M•••••• A•••••• & A•••••••• P••••••• LLC to C•••••• M•••••• A•••••• • A•••••••• P•••••••• L•••
        Jul 31, 2012 to Aug 30, 2012
      • Succession · true to false
        Jul 31, 2012 to Aug 30, 2012
      • Accounts · 3 to 4
        Mar 30, 2012 to Jul 31, 2012
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 30, 2012 to Jul 31, 2012
      Signals
      1 dated events
      • C•••••• M•••••• A•••••• P••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 31, 2012 · Succession (Item 4) · fact
      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