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•• C•••••• L••
Latest filing Apr 14, 2016
First filing on the tape Feb 9, 2012 · 16 filings
RAUM
$833M
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
12
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$487M gross assets
History
16 filings and snapshots on the tape
RAUM$833M as of Mar 30, 2016
Mar 28, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20130 then
Employees (5.A)12 as of Mar 30, 2016
Mar 28, 201319 then
Private funds4 as of Mar 30, 2016
Mar 28, 20135 then
RAUM -47% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 2016; 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
- $167MderivedRAUM 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
- -47%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
- $833M, 5 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
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
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $833M for 5 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• P•••••• E••••• V• L• | Private Equity Fund | $473M | 98 | Feb 9, 2012 |
| C••• H••••••• • S•••••• I• L• | Private Equity Fund | $2.9M | 89 | Feb 9, 2012 |
| C•••• H•••••••• • S•••••• I••• L• | Private Equity Fund | $2.4M | 70 | Feb 9, 2012 |
| C•••• H••••••• • S•••••• L•••••• P•••••••••no longer reported | Private Equity Fund | $376,669 | 55 | Feb 9, 2012 |
| C•• A••••••••• V• | Private Equity Fund | $235,000 | 8 | Feb 9, 2012 |
| C•• A••••••••• I•no longer reported | Private Equity Fund | $0 | 0 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• T•••••• J• · Partner And Elected Manager, C•• C•••••• L••controlsince 04/1997 · owns 10% to 25%
- H••••••• D••••• O• · Partner And Elected Manager, S•••••••• Capitalcontrolsince 03/2013 · owns 50% to 75%
- S••••••• B••••• P• · Partner And Elected Manager, C•• C•••••• L••controlsince 07/1988 · owns 25% to 50%
- H•••••••• D•••••• J••••• · Partner And Elected Manager, C•• C•••••• L••since 07/1988 · owns 10% to 25%
- L•••• R••••••• A••• · Partner And Elected Manager, C•• C•••••• L••since 01/2003 · owns 10% to 25%
- S••••••••• T•••• C••••••••• · Chief Financial Officer And Chief Compliance Officersince 06/2013 · owns less than 5%
Related persons
Schedule D 7.A
- C•• M••••••••• I• L•pooled vehicle sponsory
- C•• M••••••••• V• L•pooled vehicle sponsory
- N•• H••••• C•••••• M••••••••• G• L•pooled vehicle sponsorn
- N•• H••••• C•••••• M••••••••• L•investment advisern
- S•••••••• C•••••• L••investment advisern
- S•••••••• M••••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 5Mar 25, 2015 to Mar 30, 2016
- Advisory employees · 15 to 11Mar 25, 2015 to Mar 30, 2016
- Assets in custody · $1.6B to $833MMar 25, 2015 to Mar 30, 2016
- Employees · 20 to 12Mar 25, 2015 to Mar 30, 2016
- Private funds · 7 to 4Mar 25, 2015 to Mar 30, 2016
- Discretionary RAUM · $1.6B to $833MMar 25, 2015 to Mar 30, 2016
- RAUM · $1.6B to $833MMar 25, 2015 to Mar 30, 2016
- Accounts · 5 to 7Mar 27, 2014 to Mar 25, 2015
- Assets in custody · $1.4B to $1.6BMar 27, 2014 to Mar 25, 2015
- Employees · 19 to 20Mar 27, 2014 to Mar 25, 2015
- Private funds · 6 to 7Mar 27, 2014 to Mar 25, 2015
- Discretionary RAUM · $1.4B to $1.6BMar 27, 2014 to Mar 25, 2015
- RAUM · $1.4B to $1.6BMar 27, 2014 to Mar 25, 2015
- Advisory employees · 16 to 15Sep 24, 2013 to Mar 27, 2014
- Assets in custody · $1.3B to $1.4BSep 24, 2013 to Mar 27, 2014
- Private funds · 5 to 6Sep 24, 2013 to Mar 27, 2014
- Discretionary RAUM · $1.3B to $1.4BSep 24, 2013 to Mar 27, 2014
- RAUM · $1.3B to $1.4BSep 24, 2013 to Mar 27, 2014
- Accounts · 6 to 5Feb 4, 2013 to Mar 28, 2013
- Assets in custody · $1.7B to $1.3BFeb 4, 2013 to Mar 28, 2013
- Employees · 22 to 19Feb 4, 2013 to Mar 28, 2013
- Private funds · 6 to 5Feb 4, 2013 to Mar 28, 2013
- Discretionary RAUM · $1.7B to $1.3BFeb 4, 2013 to Mar 28, 2013
- RAUM · $1.7B to $1.3BFeb 4, 2013 to Mar 28, 2013
- Related adviser · false to trueFeb 4, 2013 to Mar 28, 2013
- Advisory employees · unset to 16.0Apr 30, 2012 to Feb 4, 2013
- BD registered reps · unset to 0.0Apr 30, 2012 to Feb 4, 2013
- Employees · unset to 22.0Apr 30, 2012 to Feb 4, 2013
- State-registered IARs · unset to 0.0Apr 30, 2012 to Feb 4, 2013
- Assets in custody · $1.9B to $1.7BFeb 9, 2012 to Apr 30, 2012
- Discretionary RAUM · $1.9B to $1.7BFeb 9, 2012 to Apr 30, 2012
- RAUM · $1.9B to $1.7BFeb 9, 2012 to Apr 30, 2012
- Related adviser · true to falseFeb 9, 2012 to Apr 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•• C•••••• L•• · Private Equityshared 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