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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Former SEC-registered adviser

C•••••• C•••••• M•••••••••

Former SEC-registered adviserSan Jose, CaliforniaCRD 158763SEC 801-72666IAPD
Legal name C•••••• C•••••• M••••••••• I••
Latest filing Jan 15, 2014
First filing on the tape Jan 6, 2012 · 7 filings
RAUM
$25.0M
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
7
6 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$25.0M as of Jan 2, 2014
Jan 6, 2012$27.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 2, 2014
Jan 6, 20120 then
Employees (5.A)7 as of Jan 2, 2014
Jan 2, 20137 then
Private funds: no history
RAUM +317% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 15, 2014; 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
$71,429derivedRAUM 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
+317%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 individuals, selection of other advisersreportedItem 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)
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
350reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••• E••••••••• N•• · Vice Presidentcontrol
      since 07/2011 · owns less than 5%
    • L•••• F•••••• A••• · Presidentcontrol
      since 07/2011 · owns less than 5%
    • T••••• J••••• M••••• · Chief Compliance Officercontrol
      since 07/2011 · owns less than 5%
    • L•••• E••••••••• N•• · Secretary / Board Director / Trusteecontrol
      since 03/2006 · owns 25% to 50% of Concert Global Group Ltd
    • L•••• F•••••• A••• · Ceo / Board Director / Trusteecontrol
      since 03/2006 · owns 25% to 50% of Concert Global Group Ltd
    Entity owners
    • C•••••• G••••• G•••• L•• · Parent Company
      direct · owns 75% or more
    • L••• F••••• T•••• · Trust
      indirect · owns 50% to 75% of Concert Global Grup Ltd.
    Related persons
    Schedule D 7.A
    Advisers that list C•••••• C•••••• M••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 33 to 350
      Jan 23, 2013 to Jan 2, 2014
    • Discretionary RAUM · $6.0M to $25.0M
      Jan 23, 2013 to Jan 2, 2014
    • RAUM · $6.0M to $25.0M
      Jan 23, 2013 to Jan 2, 2014
    • Accounts · 103 to 33
      Aug 30, 2012 to Jan 2, 2013
    • Advisory employees · unset to 6.0
      Aug 30, 2012 to Jan 2, 2013
    • Advisory activities · 3 to 2
      Aug 30, 2012 to Jan 2, 2013
    • Employees · unset to 7.0
      Aug 30, 2012 to Jan 2, 2013
    • Financial planning clients · unset to 0
      Aug 30, 2012 to Jan 2, 2013
    • Discretionary RAUM · $27.3M to $6.0M
      Aug 30, 2012 to Jan 2, 2013
    • RAUM · $27.3M to $6.0M
      Aug 30, 2012 to Jan 2, 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