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•••••• I••••••••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Mar 9, 2012 · 17 filings
SEC status approved since Feb 10, 2017
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$133M as of Mar 9, 2026
Mar 9, 2012$25.6M then
HNW client RAUM$39.4M as of Jan 31, 2020
Feb 15, 2018$32.2M then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Mar 9, 20120 then
Employees (5.A)1 as of Mar 9, 2026
Feb 15, 20181 then
Private funds1 as of Mar 9, 2026
Mar 9, 20121 then
RAUM -1.6% over the last fiscal year+4.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 9, 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
- $133MderivedRAUM 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
- $133MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.6%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
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $133M, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$133M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $133M for 1 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C••••• •••• L••••••• | Austin, Tx | Mar 27, 2023 | 16 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• I••••••••• P••••••• L• | Hedge Fund | $124M | 36 | Mar 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••••• C•••••• •••• · Managing Member, Chief Compliance Officercontrolsince 04/2010 · 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.
What changed
consecutive filings, newest first
- Assets in custody · $135M to $133MMar 4, 2025 to Mar 9, 2026
- Discretionary RAUM · $135M to $133MMar 4, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $135M to $133MMar 4, 2025 to Mar 9, 2026
- RAUM · $135M to $133MMar 4, 2025 to Mar 9, 2026
- Assets in custody · $124M to $135MMar 8, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 8, 2024 to Mar 4, 2025
- HQ city · unset to Mar 8, 2024 to Mar 4, 2025
- HQ state · unset to Mar 8, 2024 to Mar 4, 2025
- Discretionary RAUM · $124M to $135MMar 8, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $124M to $135MMar 8, 2024 to Mar 4, 2025
- RAUM · $124M to $135MMar 8, 2024 to Mar 4, 2025
- Assets in custody · $116M to $124MMar 26, 2023 to Mar 8, 2024
- Other offices · 1 to 0Mar 26, 2023 to Mar 8, 2024
- Discretionary RAUM · $116M to $124MMar 26, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $116M to $124MMar 26, 2023 to Mar 8, 2024
- RAUM · $116M to $124MMar 26, 2023 to Mar 8, 2024
- Assets in custody · $138M to $116MFeb 10, 2022 to Mar 26, 2023
- Other offices · 0 to 1Feb 10, 2022 to Mar 26, 2023
- Discretionary RAUM · $138M to $116MFeb 10, 2022 to Mar 26, 2023
- Pooled vehicle RAUM · $138M to $116MFeb 10, 2022 to Mar 26, 2023
- RAUM · $138M to $116MFeb 10, 2022 to Mar 26, 2023
- Assets in custody · $110M to $138MMar 11, 2021 to Feb 10, 2022
- Discretionary RAUM · $110M to $138MMar 11, 2021 to Feb 10, 2022
- Pooled vehicle RAUM · $110M to $138MMar 11, 2021 to Feb 10, 2022
- RAUM · $110M to $138MMar 11, 2021 to Feb 10, 2022
- Accounts · 5 to 1Jan 31, 2020 to Mar 11, 2021
- HNW clients · 1.0 to unsetJan 31, 2020 to Mar 11, 2021
- Assets in custody · $180M to $110MJan 31, 2020 to Mar 11, 2021
- Discretionary RAUM · $140M to $110MJan 31, 2020 to Mar 11, 2021
- HNW RAUM · 39432455.0 to unsetJan 31, 2020 to Mar 11, 2021
- Non-discretionary RAUM · $39.4M to $0Jan 31, 2020 to Mar 11, 2021
- Pooled vehicle RAUM · $140M to $110MJan 31, 2020 to Mar 11, 2021
- RAUM · $180M to $110MJan 31, 2020 to Mar 11, 2021
- Assets in custody · $155M to $180MFeb 6, 2019 to Jan 31, 2020
- Discretionary RAUM · $122M to $140MFeb 6, 2019 to Jan 31, 2020
- HNW RAUM · $32.3M to $39.4MFeb 6, 2019 to Jan 31, 2020
- Non-discretionary RAUM · $32.3M to $39.4MFeb 6, 2019 to Jan 31, 2020
- Pooled vehicle RAUM · $122M to $140MFeb 6, 2019 to Jan 31, 2020
- RAUM · $155M to $180MFeb 6, 2019 to Jan 31, 2020
- HNW clients · 4 to 1Apr 4, 2018 to Feb 6, 2019
Signals
1 dated events
- C•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 3, 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.
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 615-200-0532reportedpublic record, Form ADV, Mar 9, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026