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•••••• P•••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 157404SEC 801-74101IAPD
Legal name C••••••• R••••• A•••••••• L••
Latest filing Sep 22, 2014
First filing on the tape Feb 14, 2012 · 13 filings
RAUM
$343M
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$165M gross assets
History
13 filings and snapshots on the tape
RAUM$343M as of Mar 31, 2014
Feb 28, 2013$291M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Feb 28, 20130 then
Employees (5.A)7 as of Mar 31, 2014
Feb 28, 20137 then
Private funds6 as of Mar 31, 2014
Feb 28, 20132 then
RAUM +18% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 22, 2014; 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
$28.6MderivedRAUM 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
+18%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
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)
  • 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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• C•••••• P••••••• I•••• 1• L•Real Estate Fund$10.2M1Jan 6, 2014
      C••••••• C•••••• P••••••• I• ••••••••• G•• L•Real Estate Fund$10.0M4Jan 6, 2014
      C••••••• C•••••• P••••••• I••• G•• L•Real Estate Fund$8.8M1Jan 6, 2014
      C••••••• C•••••• P••••••• I• O••••••• ••••• L•Real Estate Fund$4.5M4Feb 14, 2012
      C••••••• C•••••• P••••••• I• ••••• L•Real Estate Fund$4.1M1Feb 14, 2012
      C••••••• C•••••• P••••••• I•••• 2• L•Real Estate Fund$3.1M2Jan 6, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• J•••• G•••••• · Partnercontrol
        since 06/2011 · owns less than 5%
      • G•••••• J••••••• M••••• · Managing Partner And Chief Investment Officercontrol
        since 04/2010 · owns less than 5%
      • M••••••••• B••••••• C•••• · Partnercontrol
        since 04/2010 · owns less than 5%
      • C••••••••• J•••• G•••••• · Membercontrol
        since 02/2013 · owns 25% to 50% of C••••••• C•••••• P•••••••• L••
      • G•••••• J••••••• M••••• · Managing Member, Trusteecontrol
        since 03/2010 · owns 50% to 75% of J•••••• A•• Y••••• G••••• L••••• T••••
      • G•••••• Y•••••• •••• · Trusteecontrol
        since 04/2012 · owns 50% to 75% of J•••••• A•• Y••••• G••••• L••••• T••••
      • J•••••• A•••••• I••••• · Advisory Chief Financial Officer
        since 08/2010 · owns less than 5%
      • R••••••• B••••••••• · Portfolio Manager, Chief Compliance Officer
        since 05/2014 · owns less than 5%
      Entity owners
      • C••••••• C•••••• P•••••••• L•• · Managing Member
        direct · owns 75% or more
      • J•••••• A•• Y••••• G••••• L••••• T•••• · Member
        indirect · owns 50% to 75% of C••••••• C•••••• P•••••••• L••
      Related persons
      Schedule D 7.A
      • C••••••• C•••••• P••••••• I• G•• L••
        pooled vehicle sponsorn
      • C••••••• C•••••• P••••••• I• G•• L••
        pooled vehicle sponsorn
      • S•••••••• G•••• R••• E•••••• L•
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        May 16, 2014 to Jun 13, 2014
      • Accounts · 11 to 12
        Jan 6, 2014 to Mar 31, 2014
      • Advisory employees · 7 to 6
        Jan 6, 2014 to Mar 31, 2014
      • Discretionary RAUM · $325M to $343M
        Jan 6, 2014 to Mar 31, 2014
      • RAUM · $325M to $343M
        Jan 6, 2014 to Mar 31, 2014
      • Accounts · 4 to 11
        Oct 10, 2013 to Jan 6, 2014
      • Private funds · 2 to 6
        Oct 10, 2013 to Jan 6, 2014
      • Discretionary RAUM · $291M to $325M
        Oct 10, 2013 to Jan 6, 2014
      • RAUM · $291M to $325M
        Oct 10, 2013 to Jan 6, 2014
      • Accounts · 2 to 4
        Jul 30, 2012 to Feb 28, 2013
      • Advisory employees · unset to 7.0
        Jul 30, 2012 to Feb 28, 2013
      • BD registered reps · unset to 0.0
        Jul 30, 2012 to Feb 28, 2013
      • Employees · unset to 7.0
        Jul 30, 2012 to Feb 28, 2013
      • State-registered IARs · unset to 0.0
        Jul 30, 2012 to Feb 28, 2013
      • Discretionary RAUM · $251M to $291M
        Jul 30, 2012 to Feb 28, 2013
      • RAUM · $251M to $291M
        Jul 30, 2012 to Feb 28, 2013
      • Business name · C••••••• R••••• A•••••••• L•• to C••••••• C•••••• P•••••••
        Feb 14, 2012 to Mar 22, 2012
      Signals
      No event on the tape.
      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
      Across the graphs

      C••••••• C•••••• P••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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