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• G••••• I••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 22, 2012 · 25 filings
SEC status approved since Jul 1, 2011
RAUM
$15B
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$15B as of Mar 31, 2026
Mar 22, 2012$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 22, 20120 then
Employees (5.A)2 as of Mar 31, 2026
Mar 22, 20134 then
Private funds: no history
RAUM +29% over the last fiscal year+58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $546MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$15B100%
- Charitable organizations$22.0M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• W••••••• A••••• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- L•• E••• · Director, Senior Vice President And General Counselcontrolsince 10/2022 · owns less than 5%
- M•••• A••• · Executive Vice-Presidentcontrolsince 08/2021 · owns less than 5%
- U••••••• D•••• · Directorsince 12/2019 · owns less than 5%
- Z••••• Y••••• · Director And Chief Financial Officersince 10/2022 · owns less than 5%
Entity owners
- C• I••••••••• I••• · Sole Shareholderdirect · owns 75% or more
- C• F•••••••• C•••• · Sole Shareholderindirect · owns 75% or more of C• I••••••••• I•••
Related persons
Schedule D 7.A
- C• I••••••••• I•••broker-dealerinvestment adviserbankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 25 to 27Sep 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 24 to 26Sep 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $11B to $15BSep 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $11B to $15BSep 11, 2025 to Mar 31, 2026
- RAUM · $11B to $15BSep 11, 2025 to Mar 31, 2026
- Accounts · 24 to 25Mar 20, 2024 to Mar 31, 2025
- Charity clients · unset to 1.0Mar 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $11B to $11BMar 20, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $11B to $11BMar 20, 2024 to Mar 31, 2025
- RAUM · $11B to $11BMar 20, 2024 to Mar 31, 2025
- Accounts · 19 to 24Mar 30, 2023 to Mar 20, 2024
- Pooled vehicle clients · 19 to 24Mar 30, 2023 to Mar 20, 2024
- Other offices · 0 to 1Mar 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $3.7B to $11BMar 30, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $3.7B to $11BMar 30, 2023 to Mar 20, 2024
- RAUM · $3.7B to $11BMar 30, 2023 to Mar 20, 2024
- Accounts · 17 to 19Dec 7, 2022 to Mar 30, 2023
- Pooled vehicle clients · 17 to 19Dec 7, 2022 to Mar 30, 2023
- Discretionary RAUM · $4.9B to $3.7BDec 7, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $4.9B to $3.7BDec 7, 2022 to Mar 30, 2023
- RAUM · $4.9B to $3.7BDec 7, 2022 to Mar 30, 2023
- Other offices · 1 to 0Sep 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.9B to $4.9BSep 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.9B to $4.9BSep 29, 2021 to Mar 31, 2022
- RAUM · $2.9B to $4.9BSep 29, 2021 to Mar 31, 2022
- HQ city · BOSTON to OAKLANDMar 30, 2021 to Sep 29, 2021
- HQ state · MA to CAMar 30, 2021 to Sep 29, 2021
- Accounts · 13 to 17Feb 25, 2021 to Mar 30, 2021
- Pooled vehicle clients · 13 to 17Feb 25, 2021 to Mar 30, 2021
- Discretionary RAUM · $3.1B to $2.9BFeb 25, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $3.1B to $2.9BFeb 25, 2021 to Mar 30, 2021
- RAUM · $3.1B to $2.9BFeb 25, 2021 to Mar 30, 2021
- Accounts · 21 to 13Mar 26, 2019 to Apr 3, 2020
- Advisory employees · 1 to 2Mar 26, 2019 to Apr 3, 2020
- Pooled vehicle clients · 21 to 13Mar 26, 2019 to Apr 3, 2020
- Employees · 1 to 2Mar 26, 2019 to Apr 3, 2020
- Other offices · 0 to 1Mar 26, 2019 to Apr 3, 2020
- Discretionary RAUM · $5.7B to $3.1BMar 26, 2019 to Apr 3, 2020
- Pooled vehicle RAUM · $5.7B to $3.1BMar 26, 2019 to Apr 3, 2020
Signals
14 dated events
- C• G••••• I••••••••• I••• reported RAUM $14.7B, up 29% from $11.4B (2025-09-11 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C• G••••• I••••••••• I••• reported RAUM $10.9B, up 191% from $3.7B (2023-03-30 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- E••• Li (Director, Senior Vice President And General Counsel) appeared on Schedule A of C• G••••• I••••••••• I•••Dec 7, 2022 · Control person joined · fact
- Douglas Edward Kelterborn (Director And General Counsel) no longer on Schedule A of C• G••••• I••••••••• I••• (listed 2022-03-31, absent 2022-12-07)Dec 7, 2022 · Control person left · inference
- C• G••••• I••••••••• I••• reported RAUM $4.9B, up 69% from $2.9B (2021-09-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Amit Muni (Director, Chief Financial Officer, Senior Vice President) appeared on Schedule A of C• G••••• I••••••••• I•••Sep 29, 2021 · Control person joined · fact
- John Douglas Jamieson (Chief Financial Officer) no longer on Schedule A of C• G••••• I••••••••• I••• (listed 2021-03-30, absent 2021-09-29)Sep 29, 2021 · Control person left · inference
- C David Pauli (Director) no longer on Schedule A of C• G••••• I••••••••• I••• (listed 2021-03-30, absent 2021-09-29)Sep 29, 2021 · Control person left · inference
- Ajay Vashisht (Chief Compliance Officer) no longer on Schedule A of C• G••••• I••••••••• I••• (listed 2020-07-20, absent 2021-02-25)Feb 25, 2021 · Control person left · inference
- Albert William Chinkiwsky (Chief Compliance Officer) appeared on Schedule A of C• G••••• I••••••••• I•••Feb 25, 2021 · Control person joined · fact
- Forrester Anne Ramsay (Chief Compliance Officer) no longer on Schedule A of C• G••••• I••••••••• I••• (listed 2020-04-03, absent 2020-07-20)Jul 20, 2020 · Control person left · inference
- Ajay Vashisht (Chief Compliance Officer) appeared on Schedule A of C• G••••• I••••••••• I•••Jul 20, 2020 · Control person joined · fact
- C• G••••• I••••••••• I••• reported RAUM $3.1B, down 46% from $5.7B (2019-03-26 to 2020-04-03)Apr 3, 2020 · RAUM change · derived
- C• G••••• I••••••••• I••• reported RAUM $5.7B, down 42% from $9.8B (2018-03-29 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
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
- Principal office phone
- 416-364-1145reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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