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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SEC-registered adviser
C••••••• T•• C••••• A•••••••
Legal name C••••••• T•• C•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 12, 2013 · 22 filings
SEC status approved since Feb 22, 2013
RAUM
$444M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$444M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$444M as of Mar 31, 2026
Mar 19, 2014$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 19, 20141 then
Employees (5.A)8 as of Mar 31, 2026
Mar 19, 20144 then
Private funds4 as of Mar 31, 2026
Mar 31, 20157 then
RAUM -11% over the last fiscal year-1.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- $444MderivedRAUM 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
- $111MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$254M57%
- Insurance companies$190M43%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.57 institutional_share=0.43 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 |
|---|---|---|---|---|
| E••• H••• D•••••• | C•••••••, Ma | May 3, 2017 | 20 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
11 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••• E•••• H••• · Managercontrolsince 08/2009 · owns less than 5%
- D••••••• E•••• H••• · Membercontrolsince 03/2006 · owns 75% or more of C••••••• T•• C••••• A••••••• L••
- D••••••• J••••• E••••• · Ccosince 10/2020 · owns less than 5%
Entity owners
- C••••••• T•• C••••• A••••••• L•• · LLC Memberdirect · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $100M to $500M (212) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 4Apr 1, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 4Apr 1, 2025 to Mar 31, 2026
- Employees · 7 to 8Apr 1, 2025 to Mar 31, 2026
- Private funds · 5 to 4Apr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $498M to $444MApr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $311M to $254MApr 1, 2025 to Mar 31, 2026
- RAUM · $498M to $444MApr 1, 2025 to Mar 31, 2026
- Employees · 6 to 7Apr 1, 2024 to Apr 1, 2025
- Financial planning clients · 0 to Apr 1, 2024 to Apr 1, 2025
- HQ city · unset to Apr 1, 2024 to Apr 1, 2025
- HQ state · unset to Apr 1, 2024 to Apr 1, 2025
- Other offices · 0 to 1Apr 1, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $473M to $498MApr 1, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $274M to $311MApr 1, 2024 to Apr 1, 2025
- RAUM · $473M to $498MApr 1, 2024 to Apr 1, 2025
- Accounts · 8 to 7Mar 30, 2023 to Apr 1, 2024
- Pooled vehicle clients · 6 to 5Mar 30, 2023 to Apr 1, 2024
- Private funds · 6 to 5Mar 30, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $468M to $473MMar 30, 2023 to Apr 1, 2024
- Pooled vehicle RAUM · $272M to $274MMar 30, 2023 to Apr 1, 2024
- RAUM · $468M to $473MMar 30, 2023 to Apr 1, 2024
- Accounts · 13 to 8Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 11 to 6Mar 31, 2022 to Mar 30, 2023
- Employees · 5 to 6Mar 31, 2022 to Mar 30, 2023
- Private funds · 11 to 6Mar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $477M to $468MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $281M to $272MMar 31, 2022 to Mar 30, 2023
- RAUM · $477M to $468MMar 31, 2022 to Mar 30, 2023
- Advisory employees · 6 to 5Mar 24, 2021 to Mar 31, 2022
- Employees · 6 to 5Mar 24, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $470M to $477MMar 24, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $274M to $281MMar 24, 2021 to Mar 31, 2022
- RAUM · $470M to $477MMar 24, 2021 to Mar 31, 2022
- Accounts · 24 to 13Dec 22, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $469M to $470MDec 22, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $273M to $274MDec 22, 2020 to Mar 24, 2021
- RAUM · $469M to $470MDec 22, 2020 to Mar 24, 2021
- Advisory employees · 7 to 6Jul 31, 2020 to Dec 22, 2020
- Employees · 7 to 6Jul 31, 2020 to Dec 22, 2020
- HQ city · C••••••• to unsetJul 31, 2020 to Dec 22, 2020
Signals
3 dated events
- Arthur Richard Floreani (Llc Member And Cco) no longer on Schedule A of C••••••• T•• C••••• A••••••• (listed 2020-07-31, absent 2020-12-22)Dec 22, 2020 · Control person left · inference
- C••••••• T•• C••••• A••••••• reported RAUM $468.2M, up 73% from $271.2M (2019-12-24 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- C••••••• T•• C••••• A••••••• filed its initial SEC registration (Form ADV)Feb 12, 2013 · First SEC registration · fact
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
- Firm profile
- linkedin.com/company/carlisle-tax-credit-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••••TAXCREDITS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 978-697-5369reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $444Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C••••••• T•• C••••• A••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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