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••• I••••••••• M••••••••• I••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2012 · 22 filings
SEC status approved since Jul 8, 2011
RAUM
$12B
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
71
33 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$12B as of Mar 31, 2026
Jun 15, 2012$3.9B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jun 15, 20120 then
Employees (5.A)71 as of Mar 31, 2026
Jul 24, 201316 then
Private funds3 as of Mar 31, 2026
Mar 29, 20181 then
RAUM +15% over the last fiscal year+19% 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
- $245MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.3B54%
- State and municipal entities$2.0B18%
- Pension and profit-sharing plans$1.6B14%
- Banks and thrifts$1.3B11%
- Insurance companies$347M3.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 14reported
- Charitable clients
- 1reported
- Accounts
- 47reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.54 institutional_share=0.35 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• G••••• I••••••••• F••• H••••••• I• L• | Private Equity Fund | $3.3B | 45 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D•••• S••••••• D••••• · President, Chief Investment Officer & Directorcontrolsince 07/2021 · owns less than 5%
- K••••••••• A••••••• H•••••• · Vice President/Directorcontrolsince 08/2018 · owns less than 5%
- P•••••••• D•••••• N•• · Chief Operating Officer, Chief Finanical Officer, Directorcontrolsince 07/2021 · owns less than 5%
- P••••• J••••• D•••• · Secretary/Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- A•••••••• L••• G••••••• G•••• · Vice-Presidentsince 07/2021 · owns less than 5%
- C•••• I•••• S••• Y•• · Vice-Presidentsince 07/2021 · owns less than 5%
- D••••••• J••••••• J•••• · Vice Presidentsince 01/2017 · owns less than 5%
- S•••• R•••••• W•••••• · Vice Presidentsince 07/2021 · owns less than 5%
- S•••••••• A•••••• · Vice Presidentsince 04/2019 · owns less than 5%
- V••••• N•••••••• L••• · Vice Presidentsince 06/2023 · owns less than 5%
Entity owners
- C••• C•••••• H•••••••• I••• · Shareholderdirect · owns 75% or more
- C••• C••••• L••••• 1• U•• · Shareholderindirect · owns 75% or more of C••• L••••••
- C••• G••••• I••• · Shareholderindirect · owns 75% or more of C••• S•••••••• I••• · public reporting company
- C••• H•••••• I••• · Shareholderindirect · owns 75% or more of C••• U• L•••••• L••
- C••• L•••••• · Shareholderindirect · owns 75% or more of C••• C•••••• H•••••••• I•••
- C••• P••••••• I••• · Shareholderindirect · owns 75% or more of C••• H•••••• I•••
- C••• S•••••••• I••• · Shareholderindirect · owns 75% or more of C•••• I•••
- C••• U• L•••••• L•• · Shareholderindirect · owns 75% or more of C••• C••••• L••••• 1• U••
- C•••• I••• · Shareholderindirect · owns 75% or more of C••• P••••••• I•••
Related persons
Schedule D 7.A
- C••• C•••••• A•••••••• I•••broker-dealern
- C••• E••••• I••••••••• M••••••••• ••••••••• C••• L•••investment advisern
- C••• G••••• I••••••••• G• I•••pooled vehicle sponsory
- C••• I••••••••• M••••••••• L••investment advisernRAUM $6.1B
- C••• I••••••••• M••••••••• •••• P••••••• P••• L•••investment advisern
- C••• I••••••••• M••••••••• •••••• L••••••investment advisern
- C••• I••••••••• M••••••••• ••••••••• C••• L•••investment advisern
- C••• I••••••••• M••••••••• •• F••••• L••••••investment advisern
- C••• I••••••••• M••••••••• A•••••••• P•• L••••••investment advisern
- C••• I••••••••• M••••••••• E••• A••• B•••investment advisern
- C••• I••••••••• M••••••••• F••• S•• R•••investment advisern
- C••• I••••••••• M••••••••• I••••••• L••••••investment advisernRAUM $50B
- C••• I••••••••• M••••••••• J•••• K•••investment advisern
- C••• I••••••••• M••••••••• L••••• R••• A••••• J•••• K•••investment advisern
- C••• I••••••••• M••••••••• L••••• R••• A••••• L••investment advisernRAUM $11B
- C••• I••••••••• M••••••••• L••••• R••• A••••• P••• L•••investment advisern
- C••• I••••••••• M••••••••• L••••••••• A••• S•• R•••investment advisern
- C••• I••••••••• M•••••••••investment advisernRAUM $23B
- C••• O••••••• I••••••••• M••••••••• ••••••••• C••• L•••investment advisern
- C•••• I•••investment companyy
Advisers that list C••• I••••••••• M••••••••• I••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom12 employees
What changed
consecutive filings, newest first
- Accounts · 46 to 47Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 15 to 14Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 12 to 13Mar 31, 2025 to Mar 31, 2026
- Private funds · 1 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $10.0B to $12BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $1.7B to $1.6BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.3B to $6.3BMar 31, 2025 to Mar 31, 2026
- RAUM · $10.0B to $12BMar 31, 2025 to Mar 31, 2026
- Accounts · 41 to 46Jun 24, 2024 to Mar 31, 2025
- Advisory employees · 34 to 33Jun 24, 2024 to Mar 31, 2025
- Pension plan clients · 14 to 15Jun 24, 2024 to Mar 31, 2025
- Pooled vehicle clients · 10 to 12Jun 24, 2024 to Mar 31, 2025
- Employees · 74 to 71Jun 24, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Jun 24, 2024 to Mar 31, 2025
- HQ state · unset to Jun 24, 2024 to Mar 31, 2025
- Other offices · 1 to 2Jun 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.6B to $10.0BJun 24, 2024 to Mar 31, 2025
- Pension RAUM · $1.6B to $1.7BJun 24, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.7B to $4.3BJun 24, 2024 to Mar 31, 2025
- RAUM · $8.6B to $10.0BJun 24, 2024 to Mar 31, 2025
- Accounts · 36 to 41Oct 19, 2023 to Mar 29, 2024
- Advisory employees · 27 to 34Oct 19, 2023 to Mar 29, 2024
- Employees · 65 to 74Oct 19, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.8B to $8.6BOct 19, 2023 to Mar 29, 2024
- Pension RAUM · $1.6B to $1.6BOct 19, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.4B to $3.7BOct 19, 2023 to Mar 29, 2024
- RAUM · $6.8B to $8.6BOct 19, 2023 to Mar 29, 2024
- Related bank · true to falseOct 19, 2023 to Mar 29, 2024
- Accounts · 32 to 36Mar 31, 2022 to Apr 3, 2023
- Advisory employees · 25 to 27Mar 31, 2022 to Apr 3, 2023
- Advisory activities · 3 to 2Mar 31, 2022 to Apr 3, 2023
- Charity clients · 0 to 1Mar 31, 2022 to Apr 3, 2023
- Corporate clients · 4.0 to unsetMar 31, 2022 to Apr 3, 2023
- Pension plan clients · 13 to 14Mar 31, 2022 to Apr 3, 2023
- Pooled vehicle clients · 2 to 10Mar 31, 2022 to Apr 3, 2023
- Custody of client assets · false to trueMar 31, 2022 to Apr 3, 2023
- Employees · 60 to 65Mar 31, 2022 to Apr 3, 2023
- Discretionary RAUM · $4.7B to $6.8BMar 31, 2022 to Apr 3, 2023
- Pension RAUM · $1.2B to $1.6BMar 31, 2022 to Apr 3, 2023
- Pooled vehicle RAUM · $1.1B to $2.4BMar 31, 2022 to Apr 3, 2023
Signals
11 dated events
- C••• I••••••••• M••••••••• I••••••••• I••• reported RAUM $8.6B, up 26% from $6.8B (2023-10-19 to 2024-03-29)Mar 29, 2024 · ria raum c•••ge · derived
- Martin Day (Vice President/Director) no longer on Schedule A of C••• I••••••••• M••••••••• I••••••••• I••• (listed 2023-04-03, absent 2023-08-22)Aug 22, 2023 · Control person left · inference
- C••• I••••••••• M••••••••• I••••••••• I••• reported RAUM $6.8B, up 46% from $4.7B (2022-03-31 to 2023-04-03)Apr 3, 2023 · ria raum c•••ge · derived
- Franklin David Rogers (Executive Chair) no longer on Schedule A of C••• I••••••••• M••••••••• I••••••••• I••• (listed 2021-10-12, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Dean Robert Chen (Chief Financial Officer [Currently On Long Term Disability Leave]) no longer on Schedule A of C••• I••••••••• M••••••••• I••••••••• I••• (listed 2021-10-12, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- David Jacob Posen (Secretary/Chief Compliance Officer) appeared on Schedule A of C••• I••••••••• M••••••••• I••••••••• I•••Oct 12, 2021 · Control person joined · fact
- Geoffrey Grant Lee Anderson (Vice-President) appeared on Schedule A of C••• I••••••••• M••••••••• I••••••••• I•••Oct 12, 2021 · Control person joined · fact
- Shun Yee Iris Chan (Vice-President) appeared on Schedule A of C••• I••••••••• M••••••••• I••••••••• I•••Oct 12, 2021 · Control person joined · fact
- Zachariah Aaron Vale (Vice-President) appeared on Schedule A of C••• I••••••••• M••••••••• I••••••••• I•••Oct 12, 2021 · Control person joined · fact
- Edward Pilkington Robert Shaw (Secretary/Chief Compliance Officer) no longer on Schedule A of C••• I••••••••• M••••••••• I••••••••• I••• (listed 2021-04-01, absent 2021-10-12)Oct 12, 2021 · Control person left · inference
- C••• I••••••••• M••••••••• I••••••••• I••• reported RAUM $3.7B, down 60% from $9.1B (2019-03-29 to 2020-03-30)Mar 30, 2020 · ria raum c•••ge · derived
Across DFX
shared identifiers only, never a name match
- C••• I••••••••• M••••••••• I••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••IM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 416-861-0700reportedpublic 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
- Other 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