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.

Former SEC-registered adviser

Clark Dodge Asset Management, LLC

Former SEC-registered adviserWhite Plains, New YorkCRD 154822SEC 801-71782IAPD
Legal name Clark Dodge Asset Management LLC
Latest filing Feb 28, 2018
First filing on the tape Mar 21, 2012 · 20 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$266M as of Mar 30, 2017
Mar 21, 2012$137M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 28, 2018
Mar 28, 20137 then
Employees (5.A)1 as of Feb 28, 2018
Mar 28, 20139 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 0
Practice profile
derived from the filing of Feb 28, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Vincent Joseph Dimauro · Chief Executive Officer/Managing Membercontrol
      since 08/2010 · owns 50% to 75%
    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
    • Accounts · 1219.0 to unset
      Jan 17, 2018 to Feb 28, 2018
    • Discretionary RAUM · 244267992.0 to unset
      Jan 17, 2018 to Feb 28, 2018
    • Non-discretionary RAUM · 21354025.0 to unset
      Jan 17, 2018 to Feb 28, 2018
    • RAUM · 265622017.0 to unset
      Jan 17, 2018 to Feb 28, 2018
    • Employees · 3 to 1
      Jun 1, 2017 to Dec 26, 2017
    • State-registered IARs · 1 to 0
      Jun 1, 2017 to Dec 26, 2017
    • Other offices · unset to 1.0
      Jun 1, 2017 to Dec 26, 2017
    • Advisory employees · 5 to 1
      Mar 30, 2017 to Jun 1, 2017
    • Advisory activities · 6 to 2
      Mar 30, 2017 to Jun 1, 2017
    • Employees · 6 to 3
      Mar 30, 2017 to Jun 1, 2017
    • Financial planning clients · 11-25 to 1-10
      Mar 30, 2017 to Jun 1, 2017
    • State-registered IARs · 5 to 1
      Mar 30, 2017 to Jun 1, 2017
    • Accounts · 1,445 to 1,219
      Jul 11, 2016 to Mar 30, 2017
    • Advisory employees · 6 to 5
      Jul 11, 2016 to Mar 30, 2017
    • BD registered reps · 2 to 0
      Jul 11, 2016 to Mar 30, 2017
    • Employees · 7 to 6
      Jul 11, 2016 to Mar 30, 2017
    • Financial planning clients · 26-50 to 11-25
      Jul 11, 2016 to Mar 30, 2017
    • State-registered IARs · 7 to 5
      Jul 11, 2016 to Mar 30, 2017
    • Discretionary RAUM · $278M to $244M
      Jul 11, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $20.2M to $21.4M
      Jul 11, 2016 to Mar 30, 2017
    • RAUM · $298M to $266M
      Jul 11, 2016 to Mar 30, 2017
    • Accounts · 1,362 to 1,445
      Nov 20, 2015 to Mar 28, 2016
    • Financial planning clients · 51-100 to 26-50
      Nov 20, 2015 to Mar 28, 2016
    • Discretionary RAUM · $287M to $278M
      Nov 20, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $56.5M to $20.2M
      Nov 20, 2015 to Mar 28, 2016
    • RAUM · $344M to $298M
      Nov 20, 2015 to Mar 28, 2016
    • Related broker-dealer · true to false
      Nov 18, 2015 to Nov 20, 2015
    • Accounts · 1,600 to 1,362
      Mar 28, 2014 to Mar 25, 2015
    • Advisory employees · 7 to 6
      Mar 28, 2014 to Mar 25, 2015
    • BD registered reps · 4 to 2
      Mar 28, 2014 to Mar 25, 2015
    • Employees · 9 to 7
      Mar 28, 2014 to Mar 25, 2015
    • Discretionary RAUM · $290M to $287M
      Mar 28, 2014 to Mar 25, 2015
    • Non-discretionary RAUM · $30.4M to $56.5M
      Mar 28, 2014 to Mar 25, 2015
    • RAUM · $320M to $344M
      Mar 28, 2014 to Mar 25, 2015
    • Accounts · 1,789 to 1,600
      Nov 15, 2013 to Mar 28, 2014
    • Discretionary RAUM · $286M to $290M
      Nov 15, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $26.3M to $30.4M
      Nov 15, 2013 to Mar 28, 2014
    • RAUM · $312M to $320M
      Nov 15, 2013 to Mar 28, 2014
    • Accounts · 1,148 to 1,789
      Nov 15, 2013 to Nov 15, 2013
    • Discretionary RAUM · $148M to $286M
      Nov 15, 2013 to Nov 15, 2013
    Signals
    No event on the tape.
    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