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••••• C•••••• P•••••••

Former SEC-registered adviserColumbia, MarylandCRD 152885SEC 801-110566IAPD
Legal name C••••• C•••••• P•••••••• L••
Latest filing Feb 15, 2019
First filing on the tape May 2, 2017 · 4 filings
RAUM
$22.9M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$18.3M gross assets
History
4 filings and snapshots on the tape
RAUM$22.9M as of Feb 15, 2019
Mar 21, 2018$17.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 15, 2019
Mar 21, 20184 then
Employees (5.A)4 as of Feb 15, 2019
Mar 21, 20184 then
Private funds3 as of Feb 15, 2019
Mar 21, 20183 then
RAUM +32% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 15, 2019; every figure names its basis
RAUM per advisor
$5.7MderivedRAUM 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
$5.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+32%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$30.9M, 4 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$18.3M80%
  • Investment companies$4.5M20%
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
$30.9M for 4 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•• T•••• R••••• F•••• L•Hedge Fund$40.8M33May 2, 2017
    C•• S•••••••• A•••• F•••• L•Hedge Fund$3.4M9Mar 21, 2018
    C•• A••••••••• A•••• F•••Hedge Fund$3.0M3May 2, 2017
    Owners and control persons
    Schedule A and B, latest filing
    • K••••• E•••• D••••• · Membercontrol
      since 11/2015 · owns 25% to 50%
    • N•••••••• R•••••• W••••• · Managing Member And Chief Compliance Officercontrol
      since 01/2012 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • C•• S•••••••• A•••• G•• L••
      pooled vehicle sponsorn
    • C••••• C•••••• I••••••••• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2 to 4
      Mar 21, 2018 to Feb 15, 2019
    • Pooled vehicle clients · 2 to 3
      Mar 21, 2018 to Feb 15, 2019
    • Assets in custody · $17.3M to $30.9M
      Mar 21, 2018 to Feb 15, 2019
    • Discretionary RAUM · $17.3M to $22.9M
      Mar 21, 2018 to Feb 15, 2019
    • Pooled vehicle RAUM · $17.3M to $18.3M
      Mar 21, 2018 to Feb 15, 2019
    • RAUM · $17.3M to $22.9M
      Mar 21, 2018 to Feb 15, 2019
    • Advisory employees · 3 to 4
      May 9, 2017 to Mar 21, 2018
    • Pooled vehicle clients · unset to 2.0
      May 9, 2017 to Mar 21, 2018
    • Assets in custody · $15.9M to $17.3M
      May 9, 2017 to Mar 21, 2018
    • Employees · 3 to 4
      May 9, 2017 to Mar 21, 2018
    • State-registered IARs · 2 to 4
      May 9, 2017 to Mar 21, 2018
    • Other offices · unset to 0.0
      May 9, 2017 to Mar 21, 2018
    • Private funds · 2 to 3
      May 9, 2017 to Mar 21, 2018
    • Discretionary RAUM · $15.9M to $17.3M
      May 9, 2017 to Mar 21, 2018
    • Pooled vehicle RAUM · unset to 17303000.0
      May 9, 2017 to Mar 21, 2018
    • RAUM · $15.9M to $17.3M
      May 9, 2017 to Mar 21, 2018
    Signals
    1 dated events
    • C••••• C•••••• P••••••• filed its initial SEC registration (Form ADV)
      May 2, 2017 · 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.
    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