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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
C•••••••• F•••• I••••••••• M••••••••• A••••••• L••
Latest filing Mar 29, 2016
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: $10.8M
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2016
Mar 30, 20120 then
Employees (5.A)6 as of Mar 29, 2016
Apr 1, 201310 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 3
Practice profile
derived from the filing of Mar 29, 2016; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -63%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
- compensates persons for client referrals (8.G.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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• P•••••••• L••• · President And Directorcontrolsince 04/2011 · owns less than 5%
- A•••••• E•••••• R•••••• · Chief Compliance Officersince 11/2013 · owns less than 5%
- B••••• C••••••••• L•••••• · Portfolio Managersince 06/2013 · owns less than 5%
- B••••••••• D••••• · Secretary And General Counselsince 04/2011 · owns less than 5%
- S••••••••• V•••••• C• · Treasurersince 06/2013 · owns less than 5%
Entity owners
- C•••••••• F•••••••• P••••••• I••• · Sole Memberdirect · owns 75% or more
- C•••••••• G••••• M•••••• H••••••• I••• · 100% Shareholderindirect · owns 75% or more of C•••••••• F•••••••• P••••••• I•••
- C•••••••• I••• · 100% Shareholderindirect · owns 75% or more of C•••••••• G••••• M•••••• H••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A•••• R••••••••• I•••real estaten
- A• K• •••••••••broker-dealerinvestment advisern
- A•••••••• T•••••• D••• F•••••••• S•••••••• L••broker-dealern
- B•••••• U••n
- B••• H••••••• W• W•••••••• S••• •••••••broker-dealern
- C•••• G• I• C••••investment adviserpooled vehicle sponsorn
- C••••• G• C••••investment adviserpooled vehicle sponsorn
- C••••••••• T•••• R••••••••• C••••••• I•••real estaten
- C••• M••••• D••••••• A••••• S••••••broker-dealern
- C••• P•••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $18B
- C••• V••••••• A•••••• D• I•••••••• Y• C••• D• B••••• C•••broker-dealerinvestment advisern
- C••••••• •••• K•••• L••••••investment advisern
- C••••••• ••••••••• A•••broker-dealerinvestment advisern
- C••••••• C••••• I••••••••• F•••• L••••••investment advisern
- C••••••• E•••••• S••• ••••••n
- C••••••• M••••••• R••••••••• I•••real estaten
- C•••••••• N•••n
- C••••••• C•••••• P••••••••• I••investment advisern
- C••••••• F•••••••• S••••••• A•• I•••••••• B•••••••• P••••••••• I••broker-dealern
- C••••••• I•••••••• U••• I•••real estaten
- C••••••• I••••••••• L••••••broker-dealerinvestment advisern
- C••••••• P••• S••• S••••••• A••••• D• B••••broker-dealern
- C••••••• S••••••••• I••••••••• C••••••••• I•••investment advisern
- C••••••• S••••••••• S•••••••• I•••broker-dealern
- C••••••• T•••• D•••••••• N•••investment advisern
- C••••••• T•••• S•••• D•••••investment advisern
- C•••••••• A••••••••• I••••••••• L••investment advisernRAUM $127M
- C•••••••• C•••••• P••••••• I• G• I• C••••investment adviserpooled vehicle sponsorn
- C•••••••• C•••••• P••••••• I• G• I• C••••investment adviserpooled vehicle sponsorn
- C•••••••• C•••• S•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2.0 to unsetMar 31, 2015 to Mar 29, 2016
- Advisory employees · 3 to 1Mar 31, 2015 to Mar 29, 2016
- BD registered reps · 8 to 3Mar 31, 2015 to Mar 29, 2016
- Employees · 9 to 6Mar 31, 2015 to Mar 29, 2016
- State-registered IARs · 8 to 3Mar 31, 2015 to Mar 29, 2016
- Discretionary RAUM · 10825744.0 to unsetMar 31, 2015 to Mar 29, 2016
- Non-discretionary RAUM · 0.0 to unsetMar 31, 2015 to Mar 29, 2016
- RAUM · 10825744.0 to unsetMar 31, 2015 to Mar 29, 2016
- Accounts · unset to 2.0Mar 31, 2014 to Mar 31, 2015
- Advisory employees · 7 to 3Mar 31, 2014 to Mar 31, 2015
- Employees · 10 to 9Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · unset to 10825744.0Mar 31, 2014 to Mar 31, 2015
- Non-discretionary RAUM · unset to 0.0Mar 31, 2014 to Mar 31, 2015
- RAUM · unset to 10825744.0Mar 31, 2014 to Mar 31, 2015
- Related insurance company · true to falseDec 19, 2013 to Mar 31, 2014
- Advisory employees · unset to 7.0Mar 30, 2012 to Apr 1, 2013
- BD registered reps · unset to 8.0Mar 30, 2012 to Apr 1, 2013
- Employees · unset to 10.0Mar 30, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 8Mar 30, 2012 to Apr 1, 2013
- Related bank · false to trueMar 30, 2012 to Apr 1, 2013
- Related insurance company · false to trueMar 30, 2012 to Apr 1, 2013
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