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••••••••• S•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 13, 2012 · 40 filings
SEC status approved since Jan 10, 2011
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$87.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.0M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$150M as of Mar 31, 2026
Mar 13, 2012$42.4M then
HNW client RAUM$87.1M as of Mar 31, 2026
Mar 28, 2018$13.9M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 12, 20130 then
Employees (5.A)9 as of Mar 31, 2026
Mar 12, 201310 then
Private funds: no history
RAUM +0.0% over the last fiscal year-8.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $50.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$87.1M58%
- Charitable organizations$56.4M38%
- Corporations and businesses$6.4M4.2%
- Individual clients
- 0reported
- HNW clients
- 36reported
- Pension plan clients
- 0reported
- Charitable clients
- 10reported
- Accounts
- 77reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.38 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•• H••••• | New York, Ny | Mar 15, 2022 | 23 y | 3 |
| F••••••• N••••••• G•••• | New York, Ny | Mar 21, 2022 | 23 y | 2 |
| J••••••• M•••• C•••••••• | New York, Ny | Oct 9, 2024 | 22 y | 2 |
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
- M•••••• J•• H••••• from M•• S••••••••• I•••Mar 15, 2022 · Other
- F••••••• N••••••• G•••• from T• W••••• M••••••••• S••••••• I•••Oct 18, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• E•••• J••• · Managing Director And Investment Committee Membercontrolsince 01/2020 · owns less than 5%
- C••••••••• J•••••••• M•••• · Managing Director And Investment Committee Membercontrolsince 01/2020 · owns less than 5%
- G••••• F•••••••• N••••••• · Managing Director And Investment Committee Membercontrolsince 06/2020 · owns less than 5%
- G••••••• W•••••• A••• · Ccocontrolsince 01/2022 · owns less than 5%
- L••••• P•••• C••••••••• · Managing Director And Investment Committee Membercontrolsince 01/2022 · owns less than 5%
- W•••••• E••••••• W•••••••• · Ceocontrolsince 10/2021 · owns less than 5%
- W•••••• E••••••• W•••••••• · Elected Managercontrolsince 10/2010 · owns F of C••••••••• L••
Entity owners
- C••••••••• L•• · Memberdirect · owns 75% or more
- C••••••••• H••••••• L•• · Memberindirect · owns 50% to 75% of C••••••••• L••
Related persons
Schedule D 7.A
- C•• A•••••••• L••investment adviserbanknRAUM $46.6M
- C••••••••• I••••••••• C••••••••• L••investment advisernRAUM $14B
Advisers that list C••••••••• I••••••••• S•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 73 to 77Nov 25, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Nov 25, 2024 to Mar 31, 2025
- Charity clients · 9 to 10Nov 25, 2024 to Mar 31, 2025
- Corporate clients · 3 to 2Nov 25, 2024 to Mar 31, 2025
- HNW clients · 41 to 36Nov 25, 2024 to Mar 31, 2025
- Employees · 11 to 9Nov 25, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Nov 25, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 3Nov 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $156M to $150MNov 25, 2024 to Mar 31, 2025
- HNW RAUM · $77.6M to $87.1MNov 25, 2024 to Mar 31, 2025
- RAUM · $156M to $150MNov 25, 2024 to Mar 31, 2025
- Accounts · 65 to 73Jan 10, 2024 to Mar 29, 2024
- Advisory employees · 11 to 6Jan 10, 2024 to Mar 29, 2024
- Charity clients · 10 to 9Jan 10, 2024 to Mar 29, 2024
- HNW clients · 33 to 41Jan 10, 2024 to Mar 29, 2024
- Pension plan clients · 1 to 0Jan 10, 2024 to Mar 29, 2024
- Employees · 16 to 11Jan 10, 2024 to Mar 29, 2024
- Discretionary RAUM · $192M to $156MJan 10, 2024 to Mar 29, 2024
- HNW RAUM · $59.5M to $77.6MJan 10, 2024 to Mar 29, 2024
- Pension RAUM · 11830541.0 to unsetJan 10, 2024 to Mar 29, 2024
- RAUM · $192M to $156MJan 10, 2024 to Mar 29, 2024
- HQ city · STAMFORD to NEW YORKDec 5, 2023 to Jan 10, 2024
- HQ state · CT to NYDec 5, 2023 to Jan 10, 2024
- Accounts · 61 to 65Jan 23, 2023 to Mar 31, 2023
- Advisory activities · 5 to 4Jan 23, 2023 to Mar 31, 2023
- Charity clients · 7 to 10Jan 23, 2023 to Mar 31, 2023
- Corporate clients · 1 to 3Jan 23, 2023 to Mar 31, 2023
- HNW clients · 20 to 33Jan 23, 2023 to Mar 31, 2023
- Discretionary RAUM · $620M to $192MJan 23, 2023 to Mar 31, 2023
- HNW RAUM · $81.2M to $59.5MJan 23, 2023 to Mar 31, 2023
- Pension RAUM · $55.5M to $11.8MJan 23, 2023 to Mar 31, 2023
- RAUM · $620M to $192MJan 23, 2023 to Mar 31, 2023
- HQ city · NEW YORK to STAMFORDApr 19, 2022 to Sep 9, 2022
- HQ state · NY to CTApr 19, 2022 to Sep 9, 2022
- Accounts · 45 to 61Jan 18, 2022 to Mar 31, 2022
- Advisory activities · 6 to 5Jan 18, 2022 to Mar 31, 2022
- Charity clients · 4 to 7Jan 18, 2022 to Mar 31, 2022
- Corporate clients · 4 to 1Jan 18, 2022 to Mar 31, 2022
- HNW clients · 13 to 20Jan 18, 2022 to Mar 31, 2022
- Pension plan clients · 2 to 1Jan 18, 2022 to Mar 31, 2022
Signals
15 dated events
- Jane Elisa Mailman (Managing Director And Investment Committee Member) no longer on Schedule A of C••••••••• I••••••••• S•••••••• L•• (listed 2024-06-18, absent 2024-11-25)Nov 25, 2024 · Control person left · inference
- Deforrest James Bishop (Elected Manager) no longer on Schedule A of C••••••••• I••••••••• S•••••••• L•• (listed 2024-06-18, absent 2024-11-25)Nov 25, 2024 · Control person left · inference
- C••••••••• I••••••••• S•••••••• L•• reported RAUM $192.4M, down 69% from $620.2M (2023-01-23 to 2023-03-31)Mar 31, 2023 · ria raum c•••ge · derived
- Christopher Paul Leary (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• S•••••••• L••Apr 19, 2022 · Control person joined · fact
- Jane Elisa Mailman (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• S•••••••• L••Apr 19, 2022 · Control person joined · fact
- C••••••••• I••••••••• S•••••••• L•• reported RAUM $620.2M, up 29% from $479.6M (2022-01-18 to 2022-03-31)Mar 31, 2022 · ria raum c•••ge · derived
- Alan Walter Gilmore (Cco) appeared on Schedule A of C••••••••• I••••••••• S•••••••• L••Jan 13, 2022 · Control person joined · fact
- J••••• A••• E••••••••• (Cco) no longer on Schedule A of C••••••••• I••••••••• S•••••••• L•• (listed 2021-10-22, absent 2022-01-13)Jan 13, 2022 · Control person left · inference
- Chan Timothy Ng (Managing Director And Investment Committee Member) no longer on Schedule A of C••••••••• I••••••••• S•••••••• L•• (listed 2021-08-05, absent 2021-10-22)Oct 22, 2021 · Control person left · inference
- J••••• A••• E••••••••• (Cco) appeared on Schedule A of C••••••••• I••••••••• S•••••••• L••Aug 5, 2021 · Control person joined · fact
- Alan Walter Gilmore (Chief Compliance Officer) no longer on Schedule A of C••••••••• I••••••••• S•••••••• L•• (listed 2021-03-31, absent 2021-08-05)Aug 5, 2021 · Control person left · inference
- C••••••••• I••••••••• S•••••••• L•• reported RAUM $479.6M, up 115% from $222.8M (2021-01-30 to 2021-03-31)Mar 31, 2021 · ria raum c•••ge · derived
- Nicholas Fernando Garip (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• S•••••••• L••Mar 31, 2021 · Control person joined · fact
- Moore Jonathan Chesshire (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• S•••••••• L••Mar 31, 2021 · Control person joined · fact
- John Eric Blasberg (Managing Director And Investment Committee Member) appeared on Schedule A of C••••••••• I••••••••• S•••••••• L••Mar 31, 2021 · Control person joined · 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•••••••••GLOBAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-359-0290reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $50.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026