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••••• A•••• M••••••••• C•••••••••

Former SEC-registered adviserGreenwood Village, ColoradoCRD 151878SEC 801-70832IAPD
Latest filing Oct 16, 2015
First filing on the tape Mar 23, 2012 · 15 filings
RAUM
$692M
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
12
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$692M as of Mar 13, 2015
Mar 23, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2015
Mar 23, 20120 then
Employees (5.A)12 as of Mar 13, 2015
Mar 21, 201313 then
Private funds4 as of Mar 13, 2015
Mar 21, 20137 then
RAUM -13% over the last fiscal year-34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 16, 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
$173MderivedRAUM 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
-13%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
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
  • buys or sells securities as principal to or from clients (8.A.2)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••• C•• 2•••••• L•••Securitized Asset Fund$187M10Mar 21, 2013
      N•••••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$186M10Mar 21, 2013
      N•••••• C•• I•• L•••Securitized Asset Fund$88.3M10Mar 21, 2013
      S••••• V••••••• 2••• F••• A•••••• I•••••••• I••• L•••Securitized Asset Fund$45.4M10Mar 21, 2013
      N•••••• C•• V• L•••Securitized Asset Fund$13.6M10Mar 21, 2013
      N•••••• C•• I••• L•••no longer reportedSecuritized Asset Fund$010Mar 21, 2013
      M•••••• C•• I•• L•••no longer reportedSecuritized Asset Fund$010Mar 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• N••••• · Corporate Secretary Of C••••• Fund Management LLC (Relying Adviser)control
        since 11/2009 · owns less than 5%
      • C•••••• S•••••• B•••• · Chairman/Ceo Of C••••• Fund Management LLC (Relying Adviser)control
        since 06/2005 · owns less than 5%
      • D••••••• H••••• M•••• · President Of C••••• Fund Management LLC (Relying Adviser)control
        since 06/2005 · owns less than 5%
      • F••••••••• D••••• D••••• · Vice President/Treasurer/Cfo Of C••••• Fund Management LLC (Relying Adviser)control
        since 06/2005 · owns less than 5%
      • L•••• J•••••••• M•••• · Executive Vice President Of C••••• Fund Management LLC (Relying Adviser)control
        since 11/2009 · owns less than 5%
      • W••••••••• J•••• E••• · Vice President/Chief Compliance Officer Of C••••• Fund Management LLC (Relying Adviser)control
        since 04/2009 · owns less than 5%
      Entity owners
      • T•• C••••• G•••• C••••••••• · Shareholder
        direct · owns 75% or more
      • T•• C••••• G•••• C••••••••• · 100%
        indirect · owns 75% or more of C••••• F••• M••••••••• C••••••••• (Relying Adviser)
      Related persons
      Schedule D 7.A
      • C••••• F••• M••••••••• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 1 to unset
        Oct 1, 2015 to Oct 16, 2015
      • Private funds · 2 to 1
        Jun 30, 2015 to Oct 1, 2015
      • Private funds · 3 to 2
        Jun 29, 2015 to Jun 30, 2015
      • Private funds · 4 to 3
        Mar 13, 2015 to Jun 29, 2015
      • Non-discretionary RAUM · $799M to $692M
        Jan 21, 2015 to Mar 13, 2015
      • RAUM · $799M to $692M
        Jan 21, 2015 to Mar 13, 2015
      • Succession · true to false
        Jan 21, 2015 to Mar 13, 2015
      • Succession · false to true
        Apr 30, 2014 to Jan 21, 2015
      • Business name · C••••• F••• M••••••••• L•• to C••••• A•••• M••••••••• C•••••••••
        Apr 29, 2014 to Apr 30, 2014
      • Organization form · Limited Liability Company to Corporation
        Apr 29, 2014 to Apr 30, 2014
      • Accounts · 7 to 4
        Jan 17, 2014 to Mar 17, 2014
      • Business name · C••••• F••• M••••••••• C••••••••• to C••••• F••• M••••••••• L••
        Jan 17, 2014 to Mar 17, 2014
      • Employees · 13 to 12
        Jan 17, 2014 to Mar 17, 2014
      • Organization form · Corporation to Limited Liability Company
        Jan 17, 2014 to Mar 17, 2014
      • Private funds · 7 to 4
        Jan 17, 2014 to Mar 17, 2014
      • Non-discretionary RAUM · $1.4B to $799M
        Jan 17, 2014 to Mar 17, 2014
      • RAUM · $1.4B to $799M
        Jan 17, 2014 to Mar 17, 2014
      • Business name · C••••• A•••• M••••••••• C••••••••• to C••••• F••• M••••••••• C•••••••••
        Mar 21, 2013 to Apr 29, 2013
      • Accounts · 9 to 7
        Apr 17, 2012 to Mar 21, 2013
      • Advisory employees · unset to 6.0
        Apr 17, 2012 to Mar 21, 2013
      • Advisory activities · 2 to 1
        Apr 17, 2012 to Mar 21, 2013
      • Employees · unset to 13.0
        Apr 17, 2012 to Mar 21, 2013
      • Private funds · unset to 7
        Apr 17, 2012 to Mar 21, 2013
      • Discretionary RAUM · $2.4B to $0
        Apr 17, 2012 to Mar 21, 2013
      • Non-discretionary RAUM · $0 to $1.4B
        Apr 17, 2012 to Mar 21, 2013
      • RAUM · $2.4B to $1.4B
        Apr 17, 2012 to Mar 21, 2013
      Signals
      1 dated events
      • C••••• A•••• M••••••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 21, 2015 · 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