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.
SEC-registered adviser
Clearshares LLC
Latest filing Aug 19, 2026
First filing on the tape Mar 28, 2012 · 42 filings
SEC status approved since Jun 29, 2011
RAUM
$382M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$382M as of Aug 19, 2026
Mar 28, 2012$25.1M then
HNW client RAUM$0 as of Aug 19, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 19, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Aug 19, 2026
Mar 5, 20133 then
Private funds1 as of Mar 29, 2019
Mar 28, 20121 then
RAUM +0.5% over the last fiscal year-8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 19, 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
- $127MderivedRAUM 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
- +0.5%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$382M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
- J. Frank Codey · Coocontrolsince 10/2019 · owns less than 5%
- Edward Thomas Deegan · Ceocontrolsince 01/2017 · owns less than 5%
- Alan Walter Gilmore · Chief Compliance Officercontrolsince 03/2011 · owns less than 5%
- J. Frank Codey · Membercontrolsince 10/2009 · owns 75% or more of The Colt Group, LLC
- Edward Thomas Deegan · Sole Membercontrolsince 10/2023 · owns 75% or more of Duiske Holdiings, LLC
- Patrick James Fortescue · Managing Membercontrolsince 01/2020 · owns F of Jjkkp Holdings, LLC
Entity owners
- Duiske Holdiings, LLC · Memberdirect · owns 25% to 50%
- Base A LLC · Memberindirect · owns 25% to 50% of Jjkkp Holdings, LLC
- Digital Currency Group, Inc. · Memberindirect · owns 75% or more of Grayscale Investments, LLC
- Jpd Legacy One · Memberindirect · owns 25% to 50% of Jjkkp Holdings, LLC
- Grayscale Investments, LLC · Memberdirect · owns 10% to 25%
- Jjkkp Holdings, LLC · Memberdirect · owns 10% to 25%
- The Colt Group, LLC · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $381M to $382MFeb 11, 2025 to Mar 25, 2026
- RAUM · $381M to $382MFeb 11, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Feb 22, 2024 to Feb 11, 2025
- Discretionary RAUM · $406M to $381MFeb 22, 2024 to Feb 11, 2025
- RAUM · $406M to $381MFeb 22, 2024 to Feb 11, 2025
- Discretionary RAUM · $498M to $406MFeb 2, 2024 to Feb 22, 2024
- RAUM · $498M to $406MFeb 2, 2024 to Feb 22, 2024
- Discretionary RAUM · $504M to $498MJan 25, 2023 to Mar 3, 2023
- RAUM · $504M to $498MJan 25, 2023 to Mar 3, 2023
- HQ city · NEW YORK to MARCO ISLANDJan 24, 2022 to Jun 8, 2022
- HQ state · NY to FLJan 24, 2022 to Jun 8, 2022
- Advisory employees · 5 to 1Oct 22, 2021 to Jan 24, 2022
- Employees · 8 to 3Oct 22, 2021 to Jan 24, 2022
- Insurance-licensed employees · 2 to 0Oct 22, 2021 to Jan 24, 2022
- Discretionary RAUM · $313M to $504MOct 22, 2021 to Jan 24, 2022
- RAUM · $313M to $504MOct 22, 2021 to Jan 24, 2022
- Discretionary RAUM · $274M to $313MMar 26, 2021 to Apr 23, 2021
- RAUM · $274M to $313MMar 26, 2021 to Apr 23, 2021
- Discretionary RAUM · $272M to $274MNov 9, 2020 to Mar 26, 2021
- RAUM · $272M to $274MNov 9, 2020 to Mar 26, 2021
- Related adviser · false to trueNov 9, 2020 to Mar 26, 2021
- Accounts · 2 to 3Aug 18, 2020 to Nov 9, 2020
- Advisory employees · 4 to 5Aug 18, 2020 to Nov 9, 2020
- Employees · 7 to 8Aug 18, 2020 to Nov 9, 2020
- Insurance-licensed employees · 0 to 2Aug 18, 2020 to Nov 9, 2020
- Discretionary RAUM · $202M to $272MAug 18, 2020 to Nov 9, 2020
- RAUM · $202M to $272MAug 18, 2020 to Nov 9, 2020
- Advisory activities · 2 to 1Feb 20, 2020 to Mar 30, 2020
- Discretionary RAUM · $204M to $202MFeb 20, 2020 to Mar 30, 2020
- RAUM · $204M to $202MFeb 20, 2020 to Mar 30, 2020
- Accounts · 3 to 2Nov 6, 2019 to Dec 23, 2019
- Discretionary RAUM · $140M to $204MNov 6, 2019 to Dec 23, 2019
- RAUM · $140M to $204MNov 6, 2019 to Dec 23, 2019
- Accounts · 18 to 3Mar 29, 2019 to Jun 28, 2019
- Advisory activities · 3 to 2Mar 29, 2019 to Jun 28, 2019
- Pooled vehicle clients · 1 to 0Mar 29, 2019 to Jun 28, 2019
- Private funds · 1 to unsetMar 29, 2019 to Jun 28, 2019
- Discretionary RAUM · $182M to $140MMar 29, 2019 to Jun 28, 2019
- Pooled vehicle RAUM · $53.8M to $0Mar 29, 2019 to Jun 28, 2019
- RAUM · $182M to $140MMar 29, 2019 to Jun 28, 2019
Signals
7 dated events
- Edward Thomas Deegan (Ceo) appeared on Schedule A of Clearshares LlcFeb 2, 2024 · Control person joined · fact
- Clearshares Llc reported RAUM $503.6M, up 61% from $312.5M (2021-10-22 to 2022-01-24)Jan 24, 2022 · RAUM change · derived
- Patrick James Fortescue (Managing Member) appeared on Schedule A of Clearshares LlcFeb 13, 2020 · Control person joined · fact
- Wakefield Elliott Wislar (Elected Manager) no longer on Schedule A of Clearshares Llc (listed 2019-12-23, absent 2020-02-13)Feb 13, 2020 · Control person left · inference
- Deforrest James Bishop (Elected Manager) no longer on Schedule A of Clearshares Llc (listed 2019-12-23, absent 2020-02-13)Feb 13, 2020 · Control person left · inference
- J. Frank Codey (Coo) appeared on Schedule A of Clearshares LlcOct 31, 2019 · Control person joined · fact
- Chan Timothy Ng (Managing Director) no longer on Schedule A of Clearshares Llc (listed 2019-03-29, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
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
- CLEAR-SHARES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-292-0959reportedpublic record, Form ADV, Aug 19, 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