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•••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 151953SEC 801-70868IAPD
Latest filing Jun 5, 2023
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
$2.1B
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
67
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
$1.7B gross assets
History
27 filings and snapshots on the tape
RAUM$2.1B as of Mar 31, 2023
Mar 30, 2012$163M then
HNW client RAUM$0 as of Mar 31, 2023
Mar 30, 2018$63.4M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 22, 20130 then
Employees (5.A)67 as of Mar 31, 2023
Mar 22, 201351 then
Private funds9 as of Mar 31, 2023
Mar 30, 20121 then
RAUM -8.2% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 5, 2023; 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
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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.2%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 vehiclesreportedItem 5.G
Custody
$2.1B, 11 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.3B100%
  • Banks and thrifts$4.7M0.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.1B for 11 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••• 2•••••• L•••no longer reportedSecuritized Asset Fund$143M7Mar 30, 2012
      C•••• D•••••• A••••• I••••••••• C•••••• L••Private Equity Fund$105M81Mar 30, 2022
      R•• B•••••• L•no longer reportedHedge Fund$22.9M1Mar 30, 2012
      N••••••• R••• C•• I• L•••no longer reportedSecuritized Asset Fund$01Mar 30, 2012
      C•• I• M••••• F••• L•no longer reportedPrivate Equity Fund$00Mar 30, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• M••••••• G• · General Counsel, Chief Operating Officer, C•••• I••••••••• M••••••••• L••control
        since 01/2012 · owns less than 5%
      • L••••••••• A•••••• P•••• · Chief Compliance Officercontrol
        since 08/2022 · owns less than 5%
      • R•••••• E••••••••• R••••• · Head Of Investment Management, C•••• I••••••••• M••••••••• L••control
        since 08/2018 · owns less than 5%
      • R•••• J••••• D•••• · Chief Financial Officer, C•••• I••••••••• M••••••••• L••
        since 08/2015 · owns less than 5%
      Entity owners
      • C•••• I••• · Parent
        direct · owns 75% or more · public reporting company
      • T• G•••• U• H••••••• L•• · Shareholder
        indirect · owns 75% or more of T•••••• D••••••• ••••••• H•••••••• I•••
      • T•• T•••••• D••••••• B••• · Shareholder
        indirect · owns 75% or more of T• G•••• U• H••••••• L•• · public reporting company
      • T•••••• D••••••• ••••••• H•••••••• I••• · Shareholder
        indirect · owns 75% or more of C•••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list C•••• I••••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY6 employees
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 12
        Jan 12, 2023 to Mar 31, 2023
      • Advisory employees · 27 to 12
        Jan 12, 2023 to Mar 31, 2023
      • BD registered reps · 13 to 10
        Jan 12, 2023 to Mar 31, 2023
      • Pooled vehicle clients · 13 to 9
        Jan 12, 2023 to Mar 31, 2023
      • Assets in custody · $2.3B to $2.1B
        Jan 12, 2023 to Mar 31, 2023
      • Employees · 68 to 67
        Jan 12, 2023 to Mar 31, 2023
      • Private funds · 16 to 9
        Jan 12, 2023 to Mar 31, 2023
      • Discretionary RAUM · $2.3B to $2.1B
        Jan 12, 2023 to Mar 31, 2023
      • HNW RAUM · unset to 0.0
        Jan 12, 2023 to Mar 31, 2023
      • Individual RAUM · unset to 0.0
        Jan 12, 2023 to Mar 31, 2023
      • Pension RAUM · unset to 0.0
        Jan 12, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $1.8B to $1.3B
        Jan 12, 2023 to Mar 31, 2023
      • RAUM · $2.3B to $2.1B
        Jan 12, 2023 to Mar 31, 2023
      • Accounts · 16 to 19
        Mar 31, 2021 to Mar 30, 2022
      • Assets in custody · $133M to $2.3B
        Mar 31, 2021 to Mar 30, 2022
      • Employees · 74 to 68
        Mar 31, 2021 to Mar 30, 2022
      • Other offices · 2 to 1
        Mar 31, 2021 to Mar 30, 2022
      • Private funds · 13 to 16
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $1.1B to $2.3B
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $788M to $1.8B
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $1.1B to $2.3B
        Mar 31, 2021 to Mar 30, 2022
      • Accounts · 13 to 16
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 21 to 27
        Mar 30, 2020 to Mar 31, 2021
      • BD registered reps · 9 to 13
        Mar 30, 2020 to Mar 31, 2021
      • Charity clients · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Corporate clients · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • HNW clients · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Individual clients · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Pension plan clients · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 11 to 13
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $602M to $133M
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 11 to 13
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $963M to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • HNW RAUM · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Individual RAUM · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Pension RAUM · 0.0 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $559M to $788M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $963M to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 70 to 13
        Jul 26, 2019 to Mar 30, 2020
      • Advisory employees · 24 to 21
        Jul 26, 2019 to Mar 30, 2020
      Signals
      7 dated events
      • P•••• A••••• L••••••••• (Chief Compliance Officer) appeared on Schedule A of C•••• I••••••••• M••••••••• L••
        Jan 12, 2023 · Control person joined · fact
      • C•••• I••••••••• M••••••••• L•• reported RAUM $2.3B, up 98% from $1.1B (2021-03-31 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • C•••• I••••••••• M••••••••• L•• reported RAUM $961.8M, up 34% from $718.2M (2019-01-16 to 2019-04-01)
        Apr 1, 2019 · RAUM change · derived
      • Wolff Thomas Strauss (Vice Chairman, C•••• I•••) no longer on Schedule A of C•••• I••••••••• M••••••••• L•• (listed 2019-01-16, absent 2019-04-01)
        Apr 1, 2019 · Control person left · inference
      • Steven Fred Fraenkel (Vice Chairman Of C•••• I•••) no longer on Schedule A of C•••• I••••••••• M••••••••• L•• (listed 2019-01-16, absent 2019-04-01)
        Apr 1, 2019 · Control person left · inference
      • Rachel Elizabeth Rosman (Head Of Investment Management, C•••• I••••••••• M••••••••• L••) appeared on Schedule A of C•••• I••••••••• M••••••••• L••
        Jan 16, 2019 · Control person joined · fact
      • C•••• I••••••••• M••••••••• L•• reported RAUM $718.2M, up 153% from $283.7M (2017-08-08 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      C•••• I••••••••• M••••••••• L•• 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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