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

T•••••••• A•••• M••••••••• L••

Former SEC-registered adviserPacific Palisades, CaliforniaCRD 155889SEC 801-72114IAPD
Latest filing Mar 30, 2012
First filing on the tape Mar 29, 2012 · 2 filings
RAUM
$92.8M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$81.5M gross assets
History
2 filings and snapshots on the tape
RAUM$92.8M as of Mar 30, 2012
Mar 29, 2012$1.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2012
Mar 29, 20120 then
Employees (5.A): no history
Private funds: 7
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2012; 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
$4.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$77.0M, 7 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.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
23reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$77.0M for 7 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• C•••••• P••••••• I• ••••••• L•Private Equity Fund$21.0M6Mar 30, 2012
      C••• C•••••• P••••••• I• ••••••• L•Private Equity Fund$19.0M5Mar 30, 2012
      C••• C•••••• P••••••• I•• L•Private Equity Fund$18.0M9Mar 30, 2012
      C••• M••••• F•••• L•Hedge Fund$17.0M14Mar 30, 2012
      C••• C•••••• P••••••• I• ••••••••• L•Private Equity Fund$2.9M2Mar 30, 2012
      C••• C•••••• P••••••• I• ••••••••• L•Private Equity Fund$2.7M2Mar 30, 2012
      C••• C•••••• P••••••• I• ••••••••• L•Private Equity Fund$1.0M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• G••••••• M••• · Chief Operating Officer / Elected Managercontrol
        since 12/2010 · owns less than 5%
      • C••••• D•••••• M••••• · Chief Investment Officer / Elected Managercontrol
        since 12/2010 · owns less than 5%
      • B••••• A••••• E••• · Beneficial Ownercontrol
        since 12/2004 · owns 25% to 50% of B•••• C••••••• 2••• I••••••••• T••••
      • B••••• C•••• T•••• · Beneficial Ownercontrol
        since 12/2004 · owns 25% to 50% of B•••• C••••••• 2••• I••••••••• T••••
      • B••••• J•••• A•••• · Beneficial Ownercontrol
        since 12/2004 · owns 25% to 50% of B•••• C••••••• 2••• I••••••••• T••••
      • C••••• D•••••• M••••• · Managing Membercontrol
        since 12/2010 · owns 75% or more of C•••• C•••••• M••••••••• L••
      • C••••• D•••••• M••••• · Onwercontrol
        since 09/2004 · owns 75% or more of C•••• C•••••• M••••••••• I•••
      • T•••• P•••••• B•••• · Trusteecontrol
        since 12/2004 · owns F of B•••• C••••••• 2••• I••••••••• T••••
      • N••••••• H•••••• I•• · Chief Compliance Officer
        since 12/2010 · owns less than 5%
      Entity owners
      • C•••• C•••••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • M••••••• R••• C•••••• P••••••• L•• · Member
        direct · owns 50% to 75%
      • B•••• C••••••• 2••• I••••••••• T•••• · Trust
        indirect · owns 75% or more of M••••••• R••• C•••••• P••••••• L••
      • M••••••• R••• C•••••• P••••••• L•• · Member
        indirect · owns 50% to 75% of C••• Capital Partners II, LLC
      • M••••••• R••• C•••••• P••••••• L•• · Member
        indirect · owns 75% or more of C••• M••••••••• L••
      • Q••••••• L• · Member
        indirect · owns 25% to 50% of C••• Capital Partners II, LLC
      Related persons
      Schedule D 7.A
      • C•••• C•••••• M••••••••• I•••
        investment advisern
      • C••• C•••••• P••••••• I• L••
        investment adviserpooled vehicle sponsorn
      • C••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Brooklyn, NY
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 23
        Mar 29, 2012 to Mar 30, 2012
      • Advisory activities · 1 to 3
        Mar 29, 2012 to Mar 30, 2012
      • Assets in custody · unset to 77000000.0
        Mar 29, 2012 to Mar 30, 2012
      • Custody of client assets · false to true
        Mar 29, 2012 to Mar 30, 2012
      • Private funds · unset to 7
        Mar 29, 2012 to Mar 30, 2012
      • Discretionary RAUM · $1.6M to $92.8M
        Mar 29, 2012 to Mar 30, 2012
      • RAUM · $1.6M to $92.8M
        Mar 29, 2012 to Mar 30, 2012
      Signals
      No event on the tape.
      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