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
T•• C••••••••• G•••• L••
Latest filing Mar 20, 2026
First filing on the tape Jun 28, 2018 · 10 filings
SEC status approved since Jul 26, 2018
RAUM
$240M
reported, Item 5.F
Discretionary
99%
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
14
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$240M as of Mar 20, 2026
Mar 28, 2019$138M then
HNW client RAUM$0 as of Mar 20, 2026
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 28, 20191 then
Employees (5.A)14 as of Mar 20, 2026
Mar 28, 20196 then
Private funds4 as of Mar 20, 2026
Mar 28, 20192 then
RAUM -2.1% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- $24.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- -2.1%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $84.3M, 9 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$237M100%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.3M for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C• C••• V•••• F••• L• | Hedge Fund | $168M | 42 | Jun 28, 2018 |
| C• E••••• O••••••••• F••• L•no longer reported | Private Equity Fund | $31.0M | 2 | Jun 28, 2018 |
| C• S•• I• L• | Hedge Fund | $10.3M | 24 | Mar 27, 2023 |
Owners and control persons
Schedule A and B, latest filing
- F••• J••••••• H••••• · Ceocontrolsince 11/2021 · owns 75% or more
- L••••••• J•••• J•••• · Chief Investment Officercontrolsince 04/2022 · owns less than 5%
- L•••••• H••••• L•••• · Cco, Coocontrolsince 01/2013 · owns less than 5%
- M••••••• K•••• E•••• · Chief Financial Officercontrolsince 06/2009 · owns less than 5%
- F••• J••••••• H••••• · Trusteecontrolsince 05/2000 · owns F of J•••••• H• F•• R•••••••• T••••
Entity owners
- C••••••••• G•••• H••••••• L•• · Memberdirect · owns 75% or more
- J•••••• H• F•• R•••••••• T•••• · Memberindirect · owns 75% or more of C••••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- C• C••• V•••• G•• L••pooled vehicle sponsorn
- C• S•• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Mar 30, 2025 to Mar 20, 2026
- Advisory employees · 14 to 12Mar 30, 2025 to Mar 20, 2026
- Pooled vehicle clients · 4 to 5Mar 30, 2025 to Mar 20, 2026
- Assets in custody · $45.5M to $84.3MMar 30, 2025 to Mar 20, 2026
- Employees · 16 to 14Mar 30, 2025 to Mar 20, 2026
- Private funds · 3 to 4Mar 30, 2025 to Mar 20, 2026
- Discretionary RAUM · $241M to $237MMar 30, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $3.3M to $3.0MMar 30, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $241M to $237MMar 30, 2025 to Mar 20, 2026
- RAUM · $245M to $240MMar 30, 2025 to Mar 20, 2026
- Accounts · 7 to 9Mar 19, 2024 to Mar 30, 2025
- Pooled vehicle clients · 2 to 4Mar 19, 2024 to Mar 30, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 30, 2025
- Private funds · 2 to 3Mar 19, 2024 to Mar 30, 2025
- Discretionary RAUM · $179M to $241MMar 19, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $8.2M to $3.3MMar 19, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $179M to $241MMar 19, 2024 to Mar 30, 2025
- RAUM · $187M to $245MMar 19, 2024 to Mar 30, 2025
- Accounts · 4 to 7Mar 27, 2023 to Mar 19, 2024
- Corporate clients · 0.0 to unsetMar 27, 2023 to Mar 19, 2024
- Assets in custody · $35.7M to $45.5MMar 27, 2023 to Mar 19, 2024
- State-registered IARs · 1 to 0Mar 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $161M to $179MMar 27, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $161M to $179MMar 27, 2023 to Mar 19, 2024
- RAUM · $169M to $187MMar 27, 2023 to Mar 19, 2024
- Accounts · 3 to 4Mar 31, 2022 to Mar 27, 2023
- Advisory employees · 13 to 14Mar 31, 2022 to Mar 27, 2023
- Pooled vehicle clients · 1 to 2Mar 31, 2022 to Mar 27, 2023
- Assets in custody · $38.0M to $35.7MMar 31, 2022 to Mar 27, 2023
- Employees · 15 to 16Mar 31, 2022 to Mar 27, 2023
- Private funds · 1 to 2Mar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $164M to $161MMar 31, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $3.0M to $8.2MMar 31, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $154M to $161MMar 31, 2022 to Mar 27, 2023
- RAUM · $167M to $169MMar 31, 2022 to Mar 27, 2023
- Accounts · 1 to 3Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 5 to 13Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $31.0M to $38.0MMar 31, 2021 to Mar 31, 2022
- Employees · 7 to 15Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $143M to $164MMar 31, 2021 to Mar 31, 2022
Signals
2 dated events
- Stuart John Haley (Founding Chief Investment Officer) no longer on Schedule A of T•• C••••••••• G•••• L•• (listed 2023-03-27, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- T•• C••••••••• G•••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•• C••••••••• G•••• L•• · Independent Sponsorsshared crd · capital_provider
- T•• C••••••••• G•••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••••-GROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 501-492-8400reportedpublic record, Form ADV, Mar 20, 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