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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••• P•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 153777SEC 801-71561IAPD

Legal name C••• G••••• A••••••••• L••

Latest filing Oct 7, 2022

First filing on the tape Nov 18, 2011 · 70 filings

RAUM

$18B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.9%

$166M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

55 advisory (5.B.1)

Offices

beyond the principal office

Private funds

154

$19B gross assets

History

70 filings and snapshots on the tape

RAUM$18B as of Mar 30, 2022

Apr 2, 2012$2.4B then

HNW client RAUM$34.6M as of Mar 30, 2022

Mar 29, 2018$150M then

State-registered IARs (5.B.3)767 as of Mar 30, 2022

Mar 27, 20130 then

Employees (5.A)936 as of Mar 30, 2022

Mar 27, 201355 then

Private funds154 as of Mar 30, 2022

Apr 2, 201298 then

RAUM +24% over the last fiscal year+18% a year over threeIARs 714 to 28offices 2 to 7

Practice profile

derived from the filing of Oct 7, 2022; every figure names its basis

RAUM per advisor: $655MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 1derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $100MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.4derivedItem 5.A over advisors
Advisors per office: 3.5derived8 offices incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: +7.4%derivedItem 5.B.3 between annual amendments
Client growth, one year: -9.1%derived
Compensation: percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $18B, 141 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

is a broker-dealer (6.A.1)
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)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
a related person acts as qualified custodian (9.D.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$18B98%
Corporations and businesses$155M0.8%
Individuals$131M0.7%
High-net-worth individuals$34.6M0.2%
Charitable organizations$5.2M0.0%

Individual clients: 5reported
HNW clients: 15reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 183reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $18B for 141 clientsreported
Compensation: % of AUM, fixed, 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

E••• S•••••• to R•• W••••• L••
Oct 31, 2022 · Other
R•••• M•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 27, 2022 · Other
R••••• C• R••• to C•••••••• G••••• M•••••• I•••
Jun 17, 2022 · Other
W•••••• A•••••••• S••••• to C•••••••• G••••• M•••••• I•••
May 13, 2022 · Other
E••• F••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Dec 31, 2018 · Other
P•••• C•••••• B••••• to M••••• S••••••
Oct 6, 2017 · Other
S•••• H••••••••• to J••• M••••• S••••••••• L••
Jun 30, 2010 · Other
J•••••• P••• to M••••• S••••••
Jun 30, 2010 · Other
M•••••• J••• C••••••• to T••••• A••••••• S•••••••• I•••
Jun 30, 2010 · Other
K•••••••• M•••••• to M••••• S••••••
Jun 30, 2010 · Other
J••• J• H•••• to J••• M••••• S••••••••• L••
Jun 30, 2010 · Other
P••••••• Y• R•••• to M••••• S••••••
Jun 30, 2010 · Other

Joined, latest

S•••• J••• from S•••••• N••••••• • C••••••• I•••••••••
Jan 9, 2023 · Other
S••••• V•••••• from C•••••••• G••••• M•••••• I•••
Nov 21, 2022 · Other
K•••••••• M•••••• from C•••••••• G••••• M•••••• I•••
Oct 13, 2022 · Other
D••• M••••••• from M••••• S••••••
Oct 13, 2022 · Other
S•••••• V•• B••••• from B••••••• I••••••••• S•••••••• I••• •••••
Sep 7, 2022 · Other
N•••••• A•••••• G•••• from C••••• C••••• L••
Aug 24, 2022 · Other
M••• V•••••• L•••• from W•••• F•••• A•••••••
Aug 24, 2022 · Other
R•••••• C•••••• S•••• from F•••• I••••••••• S•••••••
Aug 17, 2022 · Other
S•••••••• Y••• from M••••• S••••••
Aug 14, 2022 · Other
L••••• C••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 8, 2022 · Other
A••••• L•••••••• from M••••• S•••••• • C•• L••
Aug 3, 2022 · Other
A•••• D•••• L•••• from A••••• A•• P••••••• S•••••••
Jul 22, 2022 · Other
E••••• P•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 21, 2022 · Other
S••• W••• A•••• from M••••• S••••••
Jul 21, 2022 · Other
D•••••• P•••• from T••••••••• P•••••• W••••• L••
Jul 19, 2022 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from M••••• S••••••
Jul 21, 2022 · New Y•••, Ny
2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 5, 2022 · New Y•••, Ny

Teams out Teams in

Private funds

115 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C• 4•• P• M•••••• L••	Other P•••••• Fund	$353M	1	Mar 27, 2013
H••••••••• V•••••• L•• • C•••• B••no longer reported	Other P•••••• Fund	$173M	361	Mar 30, 2012
H••••••••• P•••••• R•••••••• L••no longer reported	Other P•••••• Fund	$119M	270	Mar 30, 2012
H••••••••• P•••••••••no longer reported	Hedge Fund	$89.4M	124	Mar 30, 2012
H••••••••• P•••••• A•••••••• P•••• L••no longer reported	Other P•••••• Fund	$77.4M	474	Mar 30, 2012
L•••••• O••••••• F••••• F••• L•no longer reported	Other P•••••• Fund	$73.6M	67	Apr 6, 2018
H••••••••• P••••••••• S••• • H• D•••••••• 5•no longer reported	Other P•••••• Fund	$71.2M	1	Mar 31, 2015
J•• R••••• O••••••• F••••• F•••• L•••no longer reported	Other P•••••• Fund	$66.6M	87	Mar 30, 2016
H••••••••• P••••••••• S••• • H• M•••••••	Other P•••••• Fund	$63.1M	32	Mar 30, 2012
H••••••••• B••••••••• L•••no longer reported	Other P•••••• Fund	$45.9M	107	Mar 27, 2013
H••••••••• G•••••••• L•••	Other P•••••• Fund	$39.9M	66	Mar 31, 2015
H••••••••• P••••••••• S••• • H• D•••••••• 2•no longer reported	Other P•••••• Fund	$39.6M	3	Mar 31, 2014
H••••••••• P•••••• A••••••••• L••no longer reported	Other P•••••• Fund	$39.5M	184	Mar 30, 2012
H••••••••• V•••••• L•• • C•••• B••no longer reported	Other P•••••• Fund	$38.2M	87	Mar 30, 2012
H••••••••• P•••••• R•••••••• L••no longer reported	Other P•••••• Fund	$38.2M	114	Mar 30, 2012
H••••••••• P•••••• A•••••••• P•••• L••no longer reported	Other P•••••• Fund	$36.8M	206	Mar 30, 2012
G• R•••••• M•••••• L••	Other P•••••• Fund	$26.8M	1	Mar 30, 2016
H••••••••• W••• L••no longer reported	Other P•••••• Fund	$26.2M	64	Mar 30, 2012
H••••••••• P••••••••• L•• • H• G••••• S•••••no longer reported	Other P•••••• Fund	$23.9M	37	Mar 31, 2015
H••••••••• B••••••••• L••no longer reported	Other P•••••• Fund	$23.5M	54	Mar 27, 2013
H••••••••• H•••••• H•••• L•••no longer reported	Other P•••••• Fund	$20.6M	62	Mar 30, 2016
H••••••••• P••••••• L••no longer reported	Other P•••••• Fund	$19.8M	83	Mar 30, 2012
H••••••••• A•••• E••••••• M••••••• L••no longer reported	Other P•••••• Fund	$19.4M	41	Mar 30, 2012
H••••••••• M•••• L••no longer reported	Other P•••••• Fund	$18.9M	67	Mar 30, 2012
H••••••••• V•••••• L•• • C•••• G••no longer reported	Other P•••••• Fund	$18.0M	56	Mar 31, 2014
H••••••••• M•••• L••no longer reported	Other P•••••• Fund	$17.5M	54	Mar 30, 2012
H••••••••• S••• L••no longer reported	Other P•••••• Fund	$16.8M	34	Mar 30, 2012
H••••••••• P••••••• L••no longer reported	Other P•••••• Fund	$16.6M	54	Mar 30, 2012
H••••••••• M••••••••• L••no longer reported	Other P•••••• Fund	$16.0M	63	Mar 31, 2014
H••••••••• P•••••• A•••••••• O•••••••• L••no longer reported	Other P•••••• Fund	$15.2M	117	Mar 30, 2012
H••••••••• R••••••••• F••••••• L••no longer reported	Hedge Fund	$13.3M	45	Mar 30, 2012
C••••••• E••••• V•• O••••••• F••••• F•••• L•••no longer reported	Other P•••••• Fund	$13.2M	59	Mar 30, 2016
H••••••••• P•••••••• L••no longer reported	Hedge Fund	$13.1M	63	Mar 30, 2012
H••••••••• O••• L••no longer reported	Other P•••••• Fund	$12.1M	34	Mar 30, 2012
H••••••••• S•••••• L•••no longer reported	Other P•••••• Fund	$11.8M	69	Mar 30, 2012
H••••••••• E•••••••• L••no longer reported	Other P•••••• Fund	$11.2M	25	Mar 30, 2012
H••••••••• B••••• H•••••• L••no longer reported	Other P•••••• Fund	$10.4M	43	Mar 30, 2012
H••••••••• M••••••••• L••no longer reported	Other P•••••• Fund	$9.9M	37	Mar 31, 2014
C••••••• E••••• V•• O•••••• F••••• F•••• L•••no longer reported	Other P•••••• Fund	$9.3M	59	Mar 30, 2016
H••••••••• W••• L••no longer reported	Other P•••••• Fund	$8.3M	31	Mar 30, 2012

All funds of C••• P•••••• A•••••••• L••

Owners and control persons

Schedule A and B, latest filing

B•••••••• K•••••• · Directorcontrol
since 04/2021 · owns less than 5%
G•••••••• T•••• · Chief Legal Officercontrol
since 03/2017 · owns less than 5%
H••••••• S•••••• T• · Directorcontrol
since 04/2021 · owns less than 5%
O•••••••• D••••• G•••• · Directorcontrol
since 05/2017 · owns less than 5%
R••••••••• N•••••••• · Principal Operations Officercontrol
since 08/2021 · owns less than 5%
S•••••• R••••• · Cfo/Finop/Pfocontrol
since 05/2016 · owns less than 5%
S••••••••• S•••• P•••• · Ccocontrol
since 05/2016 · owns less than 5%

Entity owners

C•••••••• I••••••••• P••••••• · M•••••
direct · owns 75% or more
C••••••• B•••••• C••••••••• · Sh
indirect · owns 75% or more of C•••••••• I••••••••• P•••••••, Inc.
C•••••••• I••• · Sh
indirect · owns 75% or more of C••••••• B•••••• C•••••••••

Related persons

Schedule D 7.A

C••• P•••••• A•••••••• L••
broker-dealerinvestment adviserpooled vehicle sponsornRAUM $18B
C••••••• ••••••••• A•
broker-dealerinvestment advisern
C••••••• C••••• I••••••••• F•••• L••••••
broker-dealerinvestment advisern
C••••••• E••••• P••
n
C••••••• E••••• P••• L••••••••• B•••••
n
C••••••• N•••• J••••• B•••••
n
C•••••••• L••••• B•••••
investment advisern
C•••••••• N•••
broker-dealerinvestment advisercustodiann
C•••••••• N•••• H••• K••• B•••••
investment advisern
C•••••••• N•••• N•• Y••• B•••••
custodiann
C•••••••• N•••• S•••••••• B•••••
n
C•••••••• N•••• S•••• F••••• G••••• B•••••
broker-dealerinvestment advisern
C•••••••• N•••• S•••• F••••• Z••••• B•••••
broker-dealerinvestment advisern
C•••••••• G••••• M•••••• I•••
broker-dealerinvestment advisertrust companyCPO or CTAnRAUM $56B
C•••••••• B•••••• L•••
investment advisern

Advisers that list C••• P•••••• A•••••••• L•• as a related person

Offices

Schedule D 1.F, the 25 largest

J••••• City, NJ16 employees
Boston, MA8 employees
Denver, CO5 employees
New Y•••, NY3 employees
Beverly H•••S, CA1 employees
Miami, FL1 employees
Tampa, FL1 employees

What changed

consecutive filings, newest first

Assets in custody · $18B to $18B
Sep 30, 2022 to Oct 7, 2022
Legal name · C••• P•••••• A•••••••• L•• to C••• G••••• A••••••••• L••
Sep 30, 2022 to Oct 7, 2022
Discretionary RAUM · $18B to $18B
Sep 30, 2022 to Oct 7, 2022
Pooled vehicle RAUM · $18B to $18B
Sep 30, 2022 to Oct 7, 2022
RAUM · $18B to $18B
Sep 30, 2022 to Oct 7, 2022
Succession · true to false
Sep 30, 2022 to Oct 7, 2022
Advisory employees · 50 to 55
Aug 23, 2022 to Sep 30, 2022
BD registered reps · 827 to 36
Aug 23, 2022 to Sep 30, 2022
Employees · 936 to 95
Aug 23, 2022 to Sep 30, 2022
Insurance-licensed employees · 21 to 8
Aug 23, 2022 to Sep 30, 2022
State-registered IARs · 767 to 28
Aug 23, 2022 to Sep 30, 2022
Other offices · 2 to 7
Aug 23, 2022 to Sep 30, 2022
Succession · false to true
Aug 23, 2022 to Sep 30, 2022
Assets in custody · $18B to $18B
Jul 22, 2022 to Aug 23, 2022
Discretionary RAUM · $18B to $18B
Jul 22, 2022 to Aug 23, 2022
HNW RAUM · $34.6M to $34.6M
Jul 22, 2022 to Aug 23, 2022
Pooled vehicle RAUM · $18B to $18B
Jul 22, 2022 to Aug 23, 2022
RAUM · $18B to $18B
Jul 22, 2022 to Aug 23, 2022
Assets in custody · $18B to $18B
May 5, 2022 to Jul 22, 2022
Discretionary RAUM · $18B to $18B
May 5, 2022 to Jul 22, 2022
HNW RAUM · $34.6M to $34.6M
May 5, 2022 to Jul 22, 2022
Pooled vehicle RAUM · $18B to $18B
May 5, 2022 to Jul 22, 2022
RAUM · $18B to $18B
May 5, 2022 to Jul 22, 2022
Accounts · 176 to 183
Mar 1, 2022 to Mar 30, 2022
Advisory employees · 49 to 50
Mar 1, 2022 to Mar 30, 2022
BD registered reps · 808 to 827
Mar 1, 2022 to Mar 30, 2022
Charity clients · 0 to 1
Mar 1, 2022 to Mar 30, 2022
Corporate clients · 22 to 21
Mar 1, 2022 to Mar 30, 2022
HNW clients · 17 to 15
Mar 1, 2022 to Mar 30, 2022
Pooled vehicle clients · 148 to 154
Mar 1, 2022 to Mar 30, 2022
Assets in custody · $15B to $18B
Mar 1, 2022 to Mar 30, 2022
Employees · 864 to 936
Mar 1, 2022 to Mar 30, 2022
Insurance-licensed employees · 2 to 21
Mar 1, 2022 to Mar 30, 2022
State-registered IARs · 714 to 767
Mar 1, 2022 to Mar 30, 2022
Private funds · 148 to 154
Mar 1, 2022 to Mar 30, 2022
Discretionary RAUM · $16B to $18B
Mar 1, 2022 to Mar 30, 2022
HNW RAUM · $63.0M to $34.6M
Mar 1, 2022 to Mar 30, 2022
Individual RAUM · $105M to $131M
Mar 1, 2022 to Mar 30, 2022
Non-discretionary RAUM · $35.4M to $23.8M
Mar 1, 2022 to Mar 30, 2022
Pooled vehicle RAUM · $15B to $18B
Mar 1, 2022 to Mar 30, 2022

Signals

20 dated events

E••• S•••••• left C••• P•••••• A•••••••• L•• for R•• W••••• L•• (registered 2023-06-19)
Oct 31, 2022 · Advisor changed firm · fact
C••• P•••••• A•••••••• L•• reported 28 state-registered advisory representatives, down from 767 (2022-08-23 to 2022-09-30)
Sep 30, 2022 · Advisor headcount change · derived
C••• P•••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Sep 30, 2022 · Succession (Item 4) · fact
Narayanan Ramakrishnan (Principal Operations Officer) appeared on Schedule A of C••• P•••••• A•••••••• L••
Sep 30, 2022 · Control person joined · fact
C••• P•••••• A•••••••• L•• reported 7 offices beyond its principal office, up from 2 (2022-08-23 to 2022-09-30)
Sep 30, 2022 · Office count change · derived
Adam Lavis (Director) no longer on Schedule A of C••• P•••••• A•••••••• L•• (listed 2022-08-23, absent 2022-09-30)
Sep 30, 2022 · Control person left · inference
R•••• M•••••• left C••• P•••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-07-29)
Jul 27, 2022 · Advisor changed firm · fact
2 advisors left M••••• S•••••• (New York, NY) for C••• P•••••• A•••••••• L•• on the same day
Jul 21, 2022 · Team lift-out · derived
2 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (New York, NY) for C••• P•••••• A•••••••• L•• within 2 days
Jul 5, 2022 · Team lift-out · derived
R••••• C• R••• left C••• P•••••• A•••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-02-24)
Jun 17, 2022 · Advisor changed firm · fact
W•••••• A•••••••• S••••• left C••• P•••••• A•••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-04-11)
May 13, 2022 · Advisor changed firm · fact
Kristen Bitterly (Director) appeared on Schedule A of C••• P•••••• A•••••••• L••
Nov 3, 2021 · Control person joined · fact
Sabrina T Huffman (Director) appeared on Schedule A of C••• P•••••• A•••••••• L••
Nov 3, 2021 · Control person joined · fact
Justin Peter Palamara (Principal Operations Officer) no longer on Schedule A of C••• P•••••• A•••••••• L•• (listed 2021-07-26, absent 2021-11-03)
Nov 3, 2021 · Control person left · inference
Jonathan Leach (Director) no longer on Schedule A of C••• P•••••• A•••••••• L•• (listed 2020-07-14, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Carlos Javier Gonzalez (Director) no longer on Schedule A of C••• P•••••• A•••••••• L•• (listed 2020-06-18, absent 2020-07-14)
Jul 14, 2020 · Control person left · inference
C••• P•••••• A•••••••• L•• reported 684 state-registered advisory representatives, up from 4 (2019-07-23 to 2020-03-30)
Mar 30, 2020 · Advisor headcount change · derived
Justin Peter Palamara (Principal Operations Officer) appeared on Schedule A of C••• P•••••• A•••••••• L••
Mar 20, 2019 · Control person joined · fact
Victor Ernest Pagano (Ceo) no longer on Schedule A of C••• P•••••• A•••••••• L•• (listed 2018-09-12, absent 2019-03-20)
Mar 20, 2019 · Control person left · inference
C••• P•••••• A•••••••• L•• reported RAUM $9.7B, up 28% from $7.6B (2017-08-31 to 2018-03-29)
Mar 29, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

C••• P•••••• A•••••••• L•• · Independent Sponsors
shared crd · intermediary
C••• P•••••• A•••••••• L•• · Private Equity
shared crd · organization
C••• P•••••• A••••••••• L•• · Venture Capital
shared crd · org

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••• P•••••• A•••••••• 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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