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••••• C•••••• I••
Latest filing Sep 17, 2026
First filing on the tape Aug 7, 2014 · 15 filings
SEC status approved since Sep 19, 2014
RAUM
$12B
reported, Item 5.F
Discretionary
0.0%
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
67
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$12B as of Jul 2, 2026
Jun 12, 2015$589M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 2, 2026
Jun 12, 20150 then
Employees (5.A)67 as of Jul 2, 2026
Jun 12, 201533 then
Private funds: no history
RAUM +89% over the last fiscal year+34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 17, 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
- $362MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +7.5%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
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 33reported
- Financial planning clients
- n/areported
- 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=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
- L•••• H••••• L••••• · Vice Presidentcontrolsince 11/2013 · owns less than 5%
- O••••••••• F•••• · Chief Compliance Officercontrolsince 09/2013 · owns less than 5%
- R••••••• B•••••• · Directorcontrolsince 01/2022 · owns less than 5%
- R••••• P••••• C•••••• W••••• · Directorcontrolsince 09/2023 · owns less than 5%
- C•••••• J•••••• J••••• · Ownercontrolsince 10/1993 · owns 75% or more of C•••• L••••••
Entity owners
- C••••• C•••••• L•••••• · Ownerdirect · owns 75% or more
- C•••• L•••••• · Ownerindirect · owns 75% or more of C••••• C•••••• L••••••
Related persons
Schedule D 7.A
- C••••• C•••••• •••• K•••• L••••••investment advisern
- C••••• C•••••• L••••••investment advisery
- C••••• C••••• O••••••••• I• • A•••• I• G•• S•• R•••pooled vehicle sponsorn
- C••••• C••••• O••••••••• I• G•• S•• R•••pooled vehicle sponsorn
- C••••• C••••• O••••••••• I• G•• S•• R•••pooled vehicle sponsorn
- C••••• C••••• S••••••••• I••••••••• M••••••••• L••••••investment advisern
- C••••• C••••• S••••••••• O••••••••• I• G•••• L•pooled vehicle sponsorn
- C••••• I••••••••• G•••••• P•••••• I•• L•••pooled vehicle sponsorn
- C••••• I••••••••• G•••••• P•••••• V• L•••investment adviserpooled vehicle sponsorn
- C••••• I••••••••• G•••••• P•••••• V•• L•••investment adviserpooled vehicle sponsorn
- C••••• I••••••••• G•••••• P•••••• V••• L•••investment adviserpooled vehicle sponsorn
- C••••• I••••••••• G•••••• P•••••• V•••• L•••investment adviserpooled vehicle sponsorn
- C••••• I••••••••• P••••••• I• L••••••••• G•• S•••••••pooled vehicle sponsorn
- C••••• I••••••••• P••••••• V• L••••••••• S•• R•••investment adviserpooled vehicle sponsorn
- C••••• I••••••••• P••••••• V•• L••••••••• G•• S•• R•••pooled vehicle sponsorn
- C••••• I••••••••• P••••••• V••• L••••••••• G•• S•• R•••pooled vehicle sponsorn
- C••••• I••••••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $37B
- C••••• P•••••• M••••• S••••••••• A•••••••• L••investment advisernRAUM $1.8B
Advisers that list C••••• C•••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 17, 2026discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $5B to $20B (684) · 0.0% percentile
- affiliate changedChange between filings · filing Sep 17, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-07-02, yes on the filing of 2026-09-17peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Business name · C••••• C•••••• I•• to C••••• E••Jul 2, 2026 to Sep 17, 2026
- Financial planning clients · to unsetJul 2, 2026 to Sep 17, 2026
- Related broker-dealer · false to trueJul 2, 2026 to Sep 17, 2026
- Succession · false to unsetJul 2, 2026 to Sep 17, 2026
- Accounts · 32 to 33Jun 27, 2025 to Jul 2, 2026
- Pooled vehicle clients · 32 to 33Jun 27, 2025 to Jul 2, 2026
- Employees · 59 to 67Jun 27, 2025 to Jul 2, 2026
- Non-discretionary RAUM · $9.0B to $12BJun 27, 2025 to Jul 2, 2026
- Pooled vehicle RAUM · $9.0B to $12BJun 27, 2025 to Jul 2, 2026
- RAUM · $9.0B to $12BJun 27, 2025 to Jul 2, 2026
- Accounts · 29 to 32Jun 28, 2024 to Jun 27, 2025
- Advisory employees · 22 to 25Jun 28, 2024 to Jun 27, 2025
- Pooled vehicle clients · 29 to 32Jun 28, 2024 to Jun 27, 2025
- Employees · 62 to 59Jun 28, 2024 to Jun 27, 2025
- Financial planning clients · unset to Jun 28, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $6.8B to $9.0BJun 28, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $6.8B to $9.0BJun 28, 2024 to Jun 27, 2025
- RAUM · $6.8B to $9.0BJun 28, 2024 to Jun 27, 2025
- Accounts · 20 to 29Jun 29, 2023 to Jun 28, 2024
- Advisory employees · 25 to 22Jun 29, 2023 to Jun 28, 2024
- Pooled vehicle clients · 20 to 29Jun 29, 2023 to Jun 28, 2024
- Employees · 50 to 62Jun 29, 2023 to Jun 28, 2024
- Non-discretionary RAUM · $6.3B to $6.8BJun 29, 2023 to Jun 28, 2024
- Pooled vehicle RAUM · $6.3B to $6.8BJun 29, 2023 to Jun 28, 2024
- RAUM · $6.3B to $6.8BJun 29, 2023 to Jun 28, 2024
- Advisory employees · 28 to 25Jun 29, 2022 to Jun 29, 2023
- Employees · 43 to 50Jun 29, 2022 to Jun 29, 2023
- Non-discretionary RAUM · $6.6B to $6.3BJun 29, 2022 to Jun 29, 2023
- Pooled vehicle RAUM · $6.6B to $6.3BJun 29, 2022 to Jun 29, 2023
- RAUM · $6.6B to $6.3BJun 29, 2022 to Jun 29, 2023
- Accounts · 16 to 20Jun 29, 2021 to Jun 29, 2022
- Advisory employees · 29 to 28Jun 29, 2021 to Jun 29, 2022
- BD registered reps · 1 to 0Jun 29, 2021 to Jun 29, 2022
- Pooled vehicle clients · 16 to 20Jun 29, 2021 to Jun 29, 2022
- Employees · 42 to 43Jun 29, 2021 to Jun 29, 2022
- Non-discretionary RAUM · $5.0B to $6.6BJun 29, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $5.0B to $6.6BJun 29, 2021 to Jun 29, 2022
- RAUM · $5.0B to $6.6BJun 29, 2021 to Jun 29, 2022
- Accounts · 14 to 16Jun 29, 2020 to Jun 29, 2021
- Advisory employees · 28 to 29Jun 29, 2020 to Jun 29, 2021
Signals
12 dated events
- C••••• C•••••• I•• reported RAUM $12.0B, up 33% from $9.0B (2025-06-27 to 2026-07-02)Jul 2, 2026 · RAUM change · derived
- C••••• C•••••• I•• reported RAUM $9.0B, up 33% from $6.8B (2024-06-28 to 2025-06-27)Jun 27, 2025 · RAUM change · derived
- Santiago Jose Lee (Director) no longer on Schedule A of C••••• C•••••• I•• (listed 2023-06-29, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Charles Whelan Peter Rosen (Director) appeared on Schedule A of C••••• C•••••• I••Jun 28, 2024 · Control person joined · fact
- C••••• C•••••• I•• reported RAUM $6.6B, up 34% from $5.0B (2021-06-29 to 2022-06-29)Jun 29, 2022 · RAUM change · derived
- Edward Frank Morgan Ii (Director) no longer on Schedule A of C••••• C•••••• I•• (listed 2021-06-29, absent 2022-06-29)Jun 29, 2022 · Control person left · inference
- Brandon Resnick (Director) appeared on Schedule A of C••••• C•••••• I••Jun 29, 2022 · Control person joined · fact
- Michael Peter Hutton (Director) no longer on Schedule A of C••••• C•••••• I•• (listed 2020-06-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Santiago Jose Lee (Director) appeared on Schedule A of C••••• C•••••• I••Jun 29, 2021 · Control person joined · fact
- C••••• C•••••• I•• reported RAUM $4.4B, up 35% from $3.2B (2019-06-28 to 2020-06-29)Jun 29, 2020 · RAUM change · derived
- C••••• C•••••• I•• reported RAUM $3.5B, up 33% from $2.6B (2017-06-29 to 2018-06-29)Jun 29, 2018 · RAUM change · derived
- C••••• C•••••• I•• filed its initial SEC registration (Form ADV)Aug 7, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• C•••••• I•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1 212 644 8500reportedpublic record, Form ADV, Sep 17, 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