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•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156033SEC 801-77188IAPD
Latest filing Sep 15, 2017
First filing on the tape Sep 20, 2012 · 16 filings
RAUM
$165M
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$165M gross assets
History
16 filings and snapshots on the tape
RAUM$165M as of Mar 17, 2017
Apr 1, 2013$94.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2017
Apr 1, 20130 then
Employees (5.A)9 as of Mar 17, 2017
Apr 1, 20137 then
Private funds1 as of Mar 17, 2017
Apr 1, 20133 then
RAUM +35% over the last fiscal year-39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 15, 2017; 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
$54.9MderivedRAUM 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
+35%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
$165M, 3 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)
  • 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)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$165M for 3 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• C•••••• C••••••• M••••• F•••• L•••no longer reportedHedge Fund$841M95Sep 20, 2012
      C•••• C•••••• C••••••• O••••••• F•••• L•••no longer reportedHedge Fund$332M29Sep 20, 2012
      C•••• C•••••• M•••• M••••• F••• L•••Hedge Fund$165M16Mar 31, 2015
      C•••• C•••••• C••••••• F•••• L•no longer reportedHedge Fund$50.7M24Sep 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• B•••• N•• · Member, Managing Director, Presidentcontrol
        since 08/2010 · owns 10% to 25%
      • S•••••••• R••••••• H• · Chief Financial Officer And Acting Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • W•••••• G••••• F•••••• · Managing Member, Ciocontrol
        since 08/2010 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••• C•••••• G•• L•• ••••••• A•••••••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 1
        Mar 30, 2016 to Mar 17, 2017
      • Assets in custody · $122M to $165M
        Mar 30, 2016 to Mar 17, 2017
      • Discretionary RAUM · $122M to $165M
        Mar 30, 2016 to Mar 17, 2017
      • RAUM · $122M to $165M
        Mar 30, 2016 to Mar 17, 2017
      • Accounts · 9 to 3
        Dec 17, 2015 to Mar 30, 2016
      • Assets in custody · $841M to $122M
        Dec 17, 2015 to Mar 30, 2016
      • Private funds · 2 to 1
        Dec 17, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.2B to $122M
        Dec 17, 2015 to Mar 30, 2016
      • RAUM · $1.2B to $122M
        Dec 17, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 5
        Sep 30, 2015 to Dec 17, 2015
      • Employees · 14 to 9
        Sep 30, 2015 to Dec 17, 2015
      • Accounts · 8 to 9
        Jul 3, 2014 to Mar 31, 2015
      • Advisory employees · 5 to 8
        Jul 3, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 3
        Jul 3, 2014 to Mar 31, 2015
      • Assets in custody · $384M to $841M
        Jul 3, 2014 to Mar 31, 2015
      • Employees · 9 to 14
        Jul 3, 2014 to Mar 31, 2015
      • Private funds · 3 to 2
        Jul 3, 2014 to Mar 31, 2015
      • Discretionary RAUM · $724M to $1.2B
        Jul 3, 2014 to Mar 31, 2015
      • RAUM · $724M to $1.2B
        Jul 3, 2014 to Mar 31, 2015
      • Related adviser · false to true
        Jul 3, 2014 to Mar 31, 2015
      • Accounts · 6 to 8
        Sep 24, 2013 to Mar 26, 2014
      • Advisory employees · 4 to 5
        Sep 24, 2013 to Mar 26, 2014
      • Assets in custody · $94.1M to $384M
        Sep 24, 2013 to Mar 26, 2014
      • Employees · 7 to 9
        Sep 24, 2013 to Mar 26, 2014
      • Discretionary RAUM · $94.0M to $724M
        Sep 24, 2013 to Mar 26, 2014
      • RAUM · $94.0M to $724M
        Sep 24, 2013 to Mar 26, 2014
      • Accounts · 4 to 6
        Nov 8, 2012 to Apr 1, 2013
      • Advisory employees · 3 to 4
        Nov 8, 2012 to Apr 1, 2013
      • Assets in custody · $0 to $94.1M
        Nov 8, 2012 to Apr 1, 2013
      • Custody of client assets · false to true
        Nov 8, 2012 to Apr 1, 2013
      • Employees · 6 to 7
        Nov 8, 2012 to Apr 1, 2013
      • Discretionary RAUM · $60.0M to $94.0M
        Nov 8, 2012 to Apr 1, 2013
      • RAUM · $60.0M to $94.0M
        Nov 8, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Oct 11, 2012 to Nov 8, 2012
      • Employees · unset to 6.0
        Oct 11, 2012 to Nov 8, 2012
      Signals
      1 dated events
      • C•••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 20, 2012 · First SEC registration · fact
      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