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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
C••••• C••••••••• A••••••••
Legal name C••••• C••••••••• A••••••••• L•••
Latest filing Aug 24, 2018
First filing on the tape Feb 14, 2012 · 22 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2016
Mar 27, 2013$5.7B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Feb 15, 2018
Mar 27, 20130 then
Employees (5.A)3 as of Feb 15, 2018
Mar 27, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• S••••• · Chief Financial Officercontrolsince 04/2008 · owns less than 5%
- F••••• K••••• M•••••• · Executive Managing Directorcontrolsince 05/2018 · owns less than 5%
- K••••• W•••••• D•••••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- L••••••• H••••• W•••••• · Chief Executive Officercontrolsince 01/2008 · owns less than 5%
- M•••••• S••••••• M••••• · General Counsel And Secretarycontrolsince 01/2008 · owns less than 5%
- M••••••• M••••••• G••••• · Global Head Of Asset Managementcontrolsince 11/2017 · owns less than 5%
- T•••• L••••••• G•••••• · Presidentcontrolsince 01/2008 · owns less than 5%
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 01/2010 · owns 25% to 50% of H••••• W• L•••••• R•••••••• T••••
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 01/2010 · owns 25% to 50% of H••••• W• L•••••• P••••••• A•••• T••••
Entity owners
- C••••• A••••••• M••••••••• L••• · L•••••• Partnerdirect · owns 75% or more
- G•••• L•• · General Partnerdirect · owns less than 5%
- C••••• F••••••••• L••• · Memberindirect · owns 75% or more of H••••• W• L•••••• P••••••• A•••• T••••
- C• G•••• M••••••••• I•• · Managing General Partnerindirect · owns F of H••••• W• L•••••• R•••••••• T••••
- H••••• W• L•••••• P••••••• A•••• T•••• · L•••••• Partnerindirect · owns 25% to 50% of L••••••• H•••••• W••••••
- H••••• W• L•••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of L••••••• H••••• W••••••
Related persons
Schedule D 7.A
- A••••• B•••••• L••broker-dealern
- A••• S••••••••• L•••broker-dealern
- A•••• B••broker-dealern
- B•••• •••• P••••••• L••••••real estaten
- B•••• L••••••real estaten
- B•••• R• •••••• E•••• L••••••real estaten
- B•••• R• B••••• C•••••••• D• R••••••••• L•••real estaten
- B•••• S•••••• V• R•••••••• B••••••••• L••real estaten
- B•• B•••••• L•broker-dealern
- B•• C•••••• M•••••• •••• K•••• L••••••broker-dealern
- B•• C•••••• M•••••• ••••••• L•• ••••• B••••••broker-dealern
- B•• C•••••• M•••••• • F•••••• E••••••• B••••• •••••• L••••••broker-dealern
- B•• D••••••••• M••••••• L•••CPO or CTAn
- B•• F••••••••• L•••broker-dealern
- B•• L••••••• D••••••••• D• T•••••• E• V•••••• M••••••••• L••••broker-dealern
- B•• P••••••• ••••••••• P•• L•••broker-dealerCPO or CTAn
- B•• P••••••• ••••••••• L•••broker-dealern
- B•• P••••••• M••••• D••••••• A•••broker-dealern
- B•• P•••••••• I•••broker-dealern
- B•• S• F•••••••• B•••••• ••••••••• L••••••broker-dealern
- B•• S••••••••• ••••••••• P•• L••broker-dealern
- B•• S••••••••• •••• K•••• L••broker-dealern
- B•• S••••••••• ••••••••• L••••••broker-dealern
- B•• S••••• K••••• L•••broker-dealern
- C••••• F••••••••• •••• K•••• C•••••• M•••••• L••••••broker-dealern
- C••••• F••••••••• • C••broker-dealern
- C••••• F••••••••• C••••• C•••••••••broker-dealern
- C••••• F••••••••• E•••••broker-dealern
- C••••• F••••••••• I••••••••• A•••••••investment advisernRAUM $3.2B
- C••••• F••••••••• I•••••• L••••••broker-dealern
Advisers that list C••••• C••••••••• A•••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0.0 to unsetAug 9, 2017 to Feb 15, 2018
- Advisory employees · 2 to 3Aug 9, 2017 to Feb 15, 2018
- Charity clients · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Corporate clients · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- HNW clients · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Individual clients · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Pension plan clients · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Pooled vehicle clients · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Employees · 2 to 3Aug 9, 2017 to Feb 15, 2018
- Other offices · unset to 1.0Aug 9, 2017 to Feb 15, 2018
- Discretionary RAUM · 0.0 to unsetAug 9, 2017 to Feb 15, 2018
- HNW RAUM · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Individual RAUM · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Non-discretionary RAUM · 0.0 to unsetAug 9, 2017 to Feb 15, 2018
- Pension RAUM · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 9, 2017 to Feb 15, 2018
- RAUM · 0.0 to unsetAug 9, 2017 to Feb 15, 2018
- Advisory employees · 3 to 2Jun 22, 2017 to Aug 9, 2017
- BD registered reps · 4 to 1Jun 22, 2017 to Aug 9, 2017
- Employees · 10 to 2Jun 22, 2017 to Aug 9, 2017
- Financial planning clients · unset to 0Jun 22, 2017 to Aug 9, 2017
- Accounts · unset to 0.0Mar 22, 2017 to Apr 20, 2017
- Discretionary RAUM · unset to 0.0Mar 22, 2017 to Apr 20, 2017
- Non-discretionary RAUM · unset to 0.0Mar 22, 2017 to Apr 20, 2017
- RAUM · unset to 0.0Mar 22, 2017 to Apr 20, 2017
- Accounts · 0.0 to unsetMar 30, 2016 to Mar 22, 2017
- Discretionary RAUM · 0.0 to unsetMar 30, 2016 to Mar 22, 2017
- Non-discretionary RAUM · 0.0 to unsetMar 30, 2016 to Mar 22, 2017
- RAUM · 0.0 to unsetMar 30, 2016 to Mar 22, 2017
- Accounts · 1 to 0Aug 25, 2015 to Mar 30, 2016
- Advisory employees · 2 to 3Aug 25, 2015 to Mar 30, 2016
- Employees · 5 to 10Aug 25, 2015 to Mar 30, 2016
- Discretionary RAUM · $3.0M to $0Aug 25, 2015 to Mar 30, 2016
- RAUM · $3.0M to $0Aug 25, 2015 to Mar 30, 2016
- Advisory employees · 4 to 2Mar 27, 2013 to Mar 28, 2014
- BD registered reps · 2 to 4Mar 27, 2013 to Mar 28, 2014
- Employees · 6 to 5Mar 27, 2013 to Mar 28, 2014
- Discretionary RAUM · $5.7B to $3.0MMar 27, 2013 to Mar 28, 2014
- RAUM · $5.7B to $3.0MMar 27, 2013 to Mar 28, 2014
- Advisory employees · unset to 4.0Apr 19, 2012 to Mar 27, 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