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•• F••• A•••••••• L••

Former SEC-registered adviserWynnewood, PennsylvaniaCRD 154682SEC 801-71900website IAPD

Latest filing Apr 29, 2025

First filing on the tape Jan 24, 2012 · 33 filings

SEC status approved since Sep 30, 2010

RAUM

$814,325

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

33 filings and snapshots on the tape

RAUM$814,325 as of Apr 29, 2025

Mar 29, 2012$141M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Apr 29, 2025

Mar 29, 20120 then

Employees (5.A)4 as of Apr 29, 2025

Mar 28, 20139 then

Private funds2 as of Mar 29, 2024

Mar 29, 201233 then

RAUM -86% over the last fiscal year-75% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Apr 29, 2025; every figure names its basis

RAUM per advisor: $407,163derivedRAUM 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: $814,325derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -86%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $814,325, 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$814,325100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $814,325 for 1 clientsreported
Compensation: n/areported
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

W•••••• A••• L•••••• to M••••••• P•••••• W•••••• L••
Jul 15, 2021 · Other
B•••• D••••• D••••••••• to C•••••••• W••••• A•••••••
Mar 28, 2014 · Other

Joined, latest

W•••••• A••• L•••••• from C•• F••• A•••••••• I•••
Oct 28, 2010 · Other

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
C•• S••••••••• P••••••• F••• I•• •••••••• L•••no longer reported	Private Equity Fund	$488,429	48	Jan 24, 2012
C•• W•••••• E••••• P••••••• I•• L•••no longer reported	Private Equity Fund	$459,179	68	Jan 24, 2012
C•• 2••• I••••••••• P••••••• Q• L•••no longer reported	Private Equity Fund	$54,341	13	Jan 24, 2012
C•• 1••• I••••••••• P•••••••• L•••no longer reported	Private Equity Fund	$50,096	24	Jan 24, 2012
C•• 2••• I••••••••• P•••••••• L•••no longer reported	Private Equity Fund	$28,434	24	Jan 24, 2012
C•• 2••• I••••••••• P••••••• Q• L•••	Private Equity Fund	$21,030	10	Jan 24, 2012
C•• 2••• I••••••••• P••••••• R•••• L•••no longer reported	Real Estate Fund	$13,665	15	Jan 24, 2012
C•• 2••• I••••••••• P••••••• P•••• L•••no longer reported	Private Equity Fund	$7,238	14	Jan 24, 2012
C•• 2••• I••••••••• P••••••• Q•• L•••no longer reported	Private Equity Fund	$5,002	3	Jan 24, 2012
C•• 2••• I••••••••• P••••••• Q• L•••no longer reported	Private Equity Fund	$2,612	9	Jan 24, 2012
C•• 2••• I••••••••• P•••••••• L•••	Private Equity Fund	$1,456	5	Jan 24, 2012
C•• 2••• I••••••••• P••••••• R•• L•••no longer reported	Real Estate Fund	$1,401	5	Jan 24, 2012
C•• 2••• I••••••••• P••••••• R•••• L•••no longer reported	Real Estate Fund	$602	15	Jan 24, 2012
C•• 2••• I••••••••• P••••••• P•• L•••no longer reported	Private Equity Fund	$447	2	Jan 24, 2012
C•• 2••• I••••••••• P•••••••• L•••no longer reported	Private Equity Fund	$230	10	Jan 24, 2012
C•• 2••• I••••••••• P••••••• R•• L•••no longer reported	Real Estate Fund	$9	2	Jan 24, 2012
C•• P•••••• E••••• P••••••• X••• L•••no longer reported	Private Equity Fund	$0	69	Jan 24, 2012
C•• T••••••••• P••••••• Q• L•••no longer reported	Private Equity Fund	$0	139	Jan 24, 2012
C•• M••••••••• I••••••••• F••• I•• L•••no longer reported	Real Estate Fund	$0	27	Jan 24, 2012
C•• T••••••••• P•••••••• L•••no longer reported	Private Equity Fund	$0	63	Jan 24, 2012
C•• P••••••• F••• I•• L•••no longer reported	Private Equity Fund	$0	165	Jan 24, 2012
C•• 1••• I••••••••• P•••••••• L•••no longer reported	Private Equity Fund	$0	25	Jan 24, 2012
C•• M••••••••• I••••••••• F••• I•••• L•••no longer reported	Real Estate Fund	$0	100	Jan 24, 2012
C•• E••••••••• R••• E••••• F••• I•• L•••no longer reported	Real Estate Fund	$0	63	Jan 24, 2012
C••••••••• P•••••••• L•••no longer reported	Private Equity Fund	$0	162	Jan 24, 2012
C••••••••• S•••••••• B••••• F•••• L•••no longer reported	Private Equity Fund	$0	123	Jan 24, 2012
C•• D•••••• F••• Q• L•••no longer reported	Private Equity Fund	$0	44	Jan 24, 2012
C••••••••• F•••• L•••no longer reported	Private Equity Fund	$0	259	Jan 24, 2012
C•• L••• I•••••••• O••••••••• F•••• L•••no longer reported	Private Equity Fund	$0	86	Jan 24, 2012
C•• D•••••• F•••• L•••no longer reported	Private Equity Fund	$0	72	Jan 24, 2012
C•• E••••••••• R••• E••••• F••• I•••• L•••no longer reported	Real Estate Fund	$0	134	Jan 24, 2012
C•• P•••••• E••••• P••••••• X••••• L•••no longer reported	Private Equity Fund	$0	207	Jan 24, 2012
C•••••• C•••••• A•••••• P•••••••• L•••no longer reported	Private Equity Fund	$0	57	Jan 24, 2012

Owners and control persons

Schedule A and B, latest filing

C••••••• D••••• A••••• · Vice President, Secretarycontrol
since 09/2010 · owns less than 5%
L••••••• W••••••• A••• · Vice President, Assistant Secretarycontrol
since 09/2010 · owns less than 5%
S••••••••• P••• · Presidentcontrol
since 09/2010 · owns less than 5%
R••••••••• W••••••• J• · Chief Compliance Officer
since 06/2024 · owns less than 5%

Entity owners

C•• H••••• L•• · Sole Managing Member - 100% Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

M••••••• I••••••••• A•••••••• L••
investment adviserpooled vehicle sponsornRAUM $110M
M••••••• I••••••••• P•••••••• L••
pooled vehicle sponsorn
M••••••• S••••••••• L••
broker-dealerreal estaten
M••••• B•• P•••• G•• L••
n
M••••• C•••••••• W••• G•• L••
n
M••••• C••••••••• G•• L••
n
M••••• C•••••••• G•• L••
n
M••••• E•••• R•••• J• G•• L••
n
M••••• F•••••• G•• L••
n
M••••• G••••• G•• L••
n
M••••• L••••• G•••• G•• L••
n
M••••• M•••••• G•• L••
n
M••••• M•••••••• G•• L••
n
M••••• M••••• G•• L••
n
M••••• M••••••••• F••• I•• G•• L••
pooled vehicle sponsorn
M••••• R••••• A•••••••• L••
investment adviserpooled vehicle sponsornRAUM $99.3M
M••••• R••••• I••••••••• P•••••••• L••
pooled vehicle sponsorn
M••••• R••••• V•••••••• L••
n
M••••• S•••••• G•• L••
n
M••••• S•••••••• G•• L••
n
M•• R••••••••• M••••••••• L•• A•• M•• R••••••••• H••••••• L••
investment companyn

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

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 3 to 1
Jun 25, 2024 to Apr 29, 2025
Advisory employees · 5 to 4
Jun 25, 2024 to Apr 29, 2025
Pooled vehicle clients · 3 to 1
Jun 25, 2024 to Apr 29, 2025
Assets in custody · $5.8M to $814,325
Jun 25, 2024 to Apr 29, 2025
Employees · 5 to 4
Jun 25, 2024 to Apr 29, 2025
Insurance-licensed employees · 1 to 2
Jun 25, 2024 to Apr 29, 2025
State-registered IARs · 1 to 2
Jun 25, 2024 to Apr 29, 2025
Private funds · 2 to unset
Jun 25, 2024 to Apr 29, 2025
Discretionary RAUM · $5.8M to $814,325
Jun 25, 2024 to Apr 29, 2025
Pooled vehicle RAUM · $5.8M to $814,325
Jun 25, 2024 to Apr 29, 2025
RAUM · $5.8M to $814,325
Jun 25, 2024 to Apr 29, 2025
Related broker-dealer · true to false
Jun 25, 2024 to Apr 29, 2025
Discretionary RAUM · $5.9M to $5.8M
Mar 29, 2024 to Jun 25, 2024
Pooled vehicle RAUM · $5.9M to $5.8M
Mar 29, 2024 to Jun 25, 2024
RAUM · $5.9M to $5.8M
Mar 29, 2024 to Jun 25, 2024
Assets in custody · $5.9M to $5.8M
Mar 29, 2024 to Jun 25, 2024
Accounts · 7 to 3
Oct 6, 2023 to Mar 29, 2024
Advisory activities · 2 to 1
Oct 6, 2023 to Mar 29, 2024
Pooled vehicle clients · 7 to 3
Oct 6, 2023 to Mar 29, 2024
Assets in custody · $14.8M to $5.9M
Oct 6, 2023 to Mar 29, 2024
Employees · 6 to 5
Oct 6, 2023 to Mar 29, 2024
Discretionary RAUM · $14.8M to $5.9M
Oct 6, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $14.8M to $5.9M
Oct 6, 2023 to Mar 29, 2024
RAUM · $14.8M to $5.9M
Oct 6, 2023 to Mar 29, 2024
Advisory employees · 6 to 5
Apr 28, 2023 to Oct 6, 2023
Accounts · 3 to 7
Mar 30, 2023 to Apr 28, 2023
Pooled vehicle clients · 3 to 7
Mar 30, 2023 to Apr 28, 2023
Assets in custody · $13.6M to $14.8M
Mar 30, 2023 to Apr 28, 2023
Private funds · 3 to 2
Mar 30, 2023 to Apr 28, 2023
Discretionary RAUM · $13.6M to $14.8M
Mar 30, 2023 to Apr 28, 2023
Pooled vehicle RAUM · $13.6M to $14.8M
Mar 30, 2023 to Apr 28, 2023
RAUM · $13.6M to $14.8M
Mar 30, 2023 to Apr 28, 2023
Accounts · 10 to 3
Mar 30, 2022 to Mar 30, 2023
Pooled vehicle clients · 10 to 3
Mar 30, 2022 to Mar 30, 2023
Assets in custody · $45.9M to $13.6M
Mar 30, 2022 to Mar 30, 2023
Private funds · 11 to 3
Mar 30, 2022 to Mar 30, 2023
Discretionary RAUM · $51.6M to $13.6M
Mar 30, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $51.6M to $13.6M
Mar 30, 2022 to Mar 30, 2023
RAUM · $51.6M to $13.6M
Mar 30, 2022 to Mar 30, 2023
Accounts · 13 to 10
Feb 1, 2022 to Mar 30, 2022

Signals

6 dated events

C•• F••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $814,325)
Jul 1, 2025 · Left the SEC roster · derived
I Mark Solomon (Vice President, Assistant Secretary) no longer on Schedule A of C•• F••• A•••••••• L•• (listed 2023-04-28, absent 2023-10-06)
Oct 6, 2023 · Control person left · inference
J William Romanelli (Treasurer, Chief Financial Officer) appeared on Schedule A of C•• F••• A•••••••• L••
Mar 30, 2022 · Control person joined · fact
Tucker John Adams (Treasurer, Vice President) no longer on Schedule A of C•• F••• A•••••••• L•• (listed 2022-02-01, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
Herbert Morey Goldberg (Vice President, Assistant Secretary) no longer on Schedule A of C•• F••• A•••••••• L•• (listed 2021-09-28, absent 2022-02-01)
Feb 1, 2022 · Control person left · inference
Alan Richard Mitchell (Cco, Secretary, Vice President, General Counsel) no longer on Schedule A of C•• F••• A•••••••• L•• (listed 2021-04-29, absent 2021-05-03)
May 3, 2021 · Control person left · inference

Across DFX

shared identifiers only, never a name match

C•• F••• A•••••••• L•• · Private Equity
shared crd · organization

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•• F••• 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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