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Former SEC-registered adviser

C•••••• F••••• A•••••

Former SEC-registered adviserCRD 158598SEC 801-76625IAPD
Legal name C•••••• F••••• A••••• L••
Latest filing Aug 28, 2018
First filing on the tape Apr 25, 2012 · 17 filings
RAUM
$23.8M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
100%
$23.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$29.8M as of Mar 30, 2018
Apr 1, 2013$63.6M then
HNW client RAUM: $29.8M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Apr 1, 20130 then
Employees (5.A)1 as of Mar 30, 2018
Apr 1, 20131 then
Private funds: no history
RAUM -25% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2018; 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
$2.4MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
20%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
-6.4%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
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$23.8M100%
Individual clients
n/areported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
19reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• D••••• G••••• · Managing Member Of LLC, Cco And Founding Partnercontrol
        since 04/2012 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 0 to 1
        Aug 27, 2018 to Aug 28, 2018
      • HNW RAUM · $29.8M to $23.8M
        Aug 7, 2018 to Aug 21, 2018
      • Non-discretionary RAUM · $25.1M to $19.1M
        Aug 7, 2018 to Aug 21, 2018
      • RAUM · $29.8M to $23.8M
        Aug 7, 2018 to Aug 21, 2018
      • Accounts · 17 to 19
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 10.0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $20.5M to $4.7M
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 29829396.0
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $11.3M to $25.1M
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $31.9M to $29.8M
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 27 to 17
        Mar 24, 2016 to Mar 31, 2017
      • Discretionary RAUM · $14.9M to $20.5M
        Mar 24, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $23.2M to $11.3M
        Mar 24, 2016 to Mar 31, 2017
      • RAUM · $38.0M to $31.9M
        Mar 24, 2016 to Mar 31, 2017
      • Accounts · 22 to 27
        Dec 8, 2015 to Mar 24, 2016
      • Discretionary RAUM · $23.0M to $14.9M
        Dec 8, 2015 to Mar 24, 2016
      • Non-discretionary RAUM · $2.5M to $23.2M
        Dec 8, 2015 to Mar 24, 2016
      • RAUM · $25.5M to $38.0M
        Dec 8, 2015 to Mar 24, 2016
      • Accounts · 5 to 22
        Mar 19, 2014 to Mar 26, 2015
      • Discretionary RAUM · $2.6M to $23.0M
        Mar 19, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $22.9M to $2.5M
        Mar 19, 2014 to Mar 26, 2015
      • RAUM · $25.5M to $25.5M
        Mar 19, 2014 to Mar 26, 2015
      • Accounts · 32 to 5
        Jul 30, 2013 to Mar 19, 2014
      • Discretionary RAUM · $2.6M to $2.6M
        Jul 30, 2013 to Mar 19, 2014
      • Non-discretionary RAUM · $61.0M to $22.9M
        Jul 30, 2013 to Mar 19, 2014
      • RAUM · $63.6M to $25.5M
        Jul 30, 2013 to Mar 19, 2014
      • Organization form · Sole Proprietorship to Limited Liability Company
        Apr 1, 2013 to Jul 30, 2013
      • Accounts · 55 to 32
        May 14, 2012 to Apr 1, 2013
      • Advisory employees · unset to 0.0
        May 14, 2012 to Apr 1, 2013
      • Advisory activities · 3 to 4
        May 14, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 14, 2012 to Apr 1, 2013
      • Employees · unset to 1.0
        May 14, 2012 to Apr 1, 2013
      • HQ city · NEW YORK to unset
        May 14, 2012 to Apr 1, 2013
      • HQ state · NY to unset
        May 14, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        May 14, 2012 to Apr 1, 2013
      • Organization form · Limited Liability Company to Sole Proprietorship
        May 14, 2012 to Apr 1, 2013
      • Discretionary RAUM · $13.1M to $2.6M
        May 14, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $56.1M to $61.0M
        May 14, 2012 to Apr 1, 2013
      • RAUM · $69.2M to $63.6M
        May 14, 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