DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••••• I••••••••• G••••• L•

Former SEC-registered adviserNew Fairfield, ConnecticutCRD 154254SEC 801-71694IAPD
Latest filing Jul 1, 2020
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
$185M
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$138M gross assets
History
27 filings and snapshots on the tape
RAUM$185M as of Mar 19, 2020
Mar 30, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2020
Feb 25, 20130 then
Employees (5.A)7 as of Mar 19, 2020
Feb 25, 201323 then
Private funds5 as of Mar 19, 2020
Mar 30, 20123 then
RAUM -53% over the last fiscal year-54% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jul 1, 2020; 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
$16.8MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-53%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 pooled vehiclesreportedItem 5.G
Custody
$138M, 9 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)
  • 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$185M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$138M for 9 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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• C••••••••• S•• L••• • C••••••••• P••••• R••• S•Hedge Fund$70.0M88Nov 21, 2014
      C••••••••• S•• I•• L•••Private Equity Fund$38.9M46Mar 5, 2014
      C••••••••• S•••••• S••••••••• M••••• F••• I•• L•••Private Equity Fund$23.0M86Aug 11, 2017
      F•••••• M••••• F••• S•• L••• • C•••• B• S••••••••• P••••••••Hedge Fund$6.3M7Aug 26, 2014
      F•••••• M••••• F••• S•• L••• • C•••• A• S••••••••• P••••••••Hedge Fund$6.3M10Aug 26, 2014
      C••••••••• A••••••••• R••••••• T••••no longer reportedOther Private Fund$5.2M6Feb 25, 2013
      C••••••••• S••••••••• C••••• M••••• F•••• L•••no longer reportedHedge Fund$2.0M208Mar 30, 2012
      C•• S•••••• L•• • C••••••••• R•••••••• E••••• S••••• I•Private Equity Fund$187,0008Mar 8, 2017
      C•• O• 5•• M••••• F•••• L•••no longer reportedHedge Fund$00Mar 30, 2012
      C••••••••• S•••••• S••••••••• M••••• F•••• L•••Hedge Fund$00Mar 30, 2012
      C••••••••• F•••••••• O••••••••• F•••• L••no longer reportedHedge Fund$00Nov 21, 2013
      C••••••••• F•••••••• O••••••••• M••••• F•••• L•no longer reportedHedge Fund$00Nov 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • I•••••••• E•••••• L•••• · Chief Financial Officer / Chief Compliance Officercontrol
        since 05/2018 · owns less than 5%
      • K•••••• D••••• E•••• · Managing Partner (Limited Partner) Of Cig, LPcontrol
        since 06/2010 · owns 10% to 25%
      • L••• M••••••• J••• A•• · Chief Executive Officer And Managing Partner (Limited Partner) Of Cig, LPcontrol
        since 06/2010 · owns 50% to 75%
      • M•••••••• M••••••• A••••• · Chief Operating Officercontrol
        since 01/2020 · owns less than 5%
      • L••• M••••••• J••• A•• · Managing Member Of C••••••••• I••••••••• G•••• G••••••• L••control
        since 06/2010 · owns 75% or more of C••••••••• I••••••••• G•••• G••••••• L••
      Entity owners
      • C••••••••• I••••••••• G•••• G••••••• L•• · G•••••• Partner Of Cig, LP
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••••• S•••••• S••••••••• G••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · RYE to NEW FAIRFIELD
        Mar 19, 2020 to Jul 1, 2020
      • HQ state · NY to CT
        Mar 19, 2020 to Jul 1, 2020
      • Accounts · 15 to 11
        Jun 6, 2019 to Mar 19, 2020
      • Advisory employees · 5 to 3
        Jun 6, 2019 to Mar 19, 2020
      • Pooled vehicle clients · 15 to 11
        Jun 6, 2019 to Mar 19, 2020
      • Assets in custody · $331M to $138M
        Jun 6, 2019 to Mar 19, 2020
      • Employees · 9 to 7
        Jun 6, 2019 to Mar 19, 2020
      • Other offices · 1 to 0
        Jun 6, 2019 to Mar 19, 2020
      • Private funds · 7 to 5
        Jun 6, 2019 to Mar 19, 2020
      • Discretionary RAUM · $394M to $185M
        Jun 6, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · $394M to $185M
        Jun 6, 2019 to Mar 19, 2020
      • RAUM · $394M to $185M
        Jun 6, 2019 to Mar 19, 2020
      • Assets in custody · $32.6M to $331M
        Mar 29, 2019 to Jun 6, 2019
      • Employees · 10 to 9
        Mar 29, 2019 to Jun 6, 2019
      • Accounts · 23 to 15
        May 22, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 23 to 15
        May 22, 2018 to Mar 29, 2019
      • Assets in custody · $30.0M to $32.6M
        May 22, 2018 to Mar 29, 2019
      • Employees · 11 to 10
        May 22, 2018 to Mar 29, 2019
      • Private funds · 10 to 7
        May 22, 2018 to Mar 29, 2019
      • Discretionary RAUM · $420M to $394M
        May 22, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $420M to $394M
        May 22, 2018 to Mar 29, 2019
      • RAUM · $420M to $394M
        May 22, 2018 to Mar 29, 2019
      • Accounts · 34 to 23
        May 10, 2018 to May 22, 2018
      • Advisory employees · 16 to 5
        May 10, 2018 to May 22, 2018
      • Advisory activities · 2 to 1
        May 10, 2018 to May 22, 2018
      • Pooled vehicle clients · 33 to 23
        May 10, 2018 to May 22, 2018
      • Assets in custody · $35.9M to $30.0M
        May 10, 2018 to May 22, 2018
      • Employees · 27 to 11
        May 10, 2018 to May 22, 2018
      • Private funds · 15 to 10
        May 10, 2018 to May 22, 2018
      • Discretionary RAUM · $1.6B to $420M
        May 10, 2018 to May 22, 2018
      • Pooled vehicle RAUM · $1.5B to $420M
        May 10, 2018 to May 22, 2018
      • RAUM · $1.6B to $420M
        May 10, 2018 to May 22, 2018
      • Discretionary RAUM · $1.5B to $1.6B
        Mar 27, 2018 to May 10, 2018
      • Pooled vehicle RAUM · $1.5B to $1.5B
        Mar 27, 2018 to May 10, 2018
      • RAUM · $1.5B to $1.6B
        Mar 27, 2018 to May 10, 2018
      • Accounts · 33 to 34
        Aug 11, 2017 to Mar 27, 2018
      • Advisory employees · 18 to 16
        Aug 11, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 33.0
        Aug 11, 2017 to Mar 27, 2018
      • Assets in custody · $28.9M to $35.9M
        Aug 11, 2017 to Mar 27, 2018
      • Employees · 29 to 27
        Aug 11, 2017 to Mar 27, 2018
      Signals
      5 dated events
      • A••••• M•••••• Mcsherry (Chief Operating Officer) appeared on Schedule A of C••••••••• I••••••••• G••••• L•
        Mar 19, 2020 · Control person joined · fact
      • C••••••••• I••••••••• G••••• L• reported RAUM $185.1M, down 53% from $394.3M (2019-06-06 to 2020-03-19)
        Mar 19, 2020 · RAUM change · derived
      • Warren Jonathan Weiss (Managing Partner (Limited Partner) Of Cig, Lp / Chief Operating Officer) no longer on Schedule A of C••••••••• I••••••••• G••••• L• (listed 2019-06-06, absent 2020-03-19)
        Mar 19, 2020 · Control person left · inference
      • Elise Janet Miller (General Counsel / Chief Operating Officer / Chief Compliance Officer / Partner (Limited Partner) Of Cig, Lp) no longer on Schedule A of C••••••••• I••••••••• G••••• L• (listed 2019-03-29, absent 2019-06-06)
        Jun 6, 2019 · Control person left · inference
      • C••••••••• I••••••••• G••••• L• reported RAUM $420.0M, down 73% from $1.6B (2018-05-10 to 2018-05-22)
        May 22, 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