DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

C••••••• C••••••

Former SEC-registered adviserProvidence, Rhode IslandCRD 159436SEC 801-80637IAPD

Legal name C••••••• C•••••• L••

Latest filing Nov 18, 2014

First filing on the tape Nov 14, 2011 · 8 filings

RAUM

$6.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$6.6M gross assets

History

8 filings and snapshots on the tape

RAUM$50.4M as of Mar 1, 2013

Mar 20, 2012$59.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3): 0

Employees (5.A): 2

Private funds1 as of Mar 1, 2013

Mar 20, 20121 then

RAUM -89% over the last fiscal year

Practice profile

derived from the filing of Nov 18, 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: $3.3MderivedRAUM 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: unknownderived2 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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, selection of other advisersreportedItem 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

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)

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: 2reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, 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

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••• A••••• S••••••••• F•••• L•••	Hedge Fund	$6.6M	11	Nov 14, 2011

Owners and control persons

Schedule A and B, latest filing

W•••• A•••••• C•••••• · Managing Member/Chief Compliance Officercontrol
since 10/2011 · owns 75% or more

Related persons

Schedule D 7.A

C•••••• A•• G•• L••
investment adviserbankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Providence, RI

What changed

consecutive filings, newest first

Advisory activities · 1 to 2
Nov 22, 2013 to Nov 18, 2014
Discretionary RAUM · $50.4M to $6.6M
Nov 22, 2013 to Nov 18, 2014
RAUM · $50.4M to $6.6M
Nov 22, 2013 to Nov 18, 2014
Assets in custody · $59.0M to $0
Mar 1, 2013 to Nov 22, 2013
Accounts · 1 to 2
Nov 19, 2012 to Mar 1, 2013
Employees · 1 to 2
Nov 19, 2012 to Mar 1, 2013
Discretionary RAUM · $59.0M to $50.4M
Nov 19, 2012 to Mar 1, 2013
RAUM · $59.0M to $50.4M
Nov 19, 2012 to Mar 1, 2013
Related bank · false to true
Nov 19, 2012 to Mar 1, 2013
Advisory employees · unset to 1.0
Oct 22, 2012 to Nov 19, 2012
BD registered reps · unset to 0.0
Oct 22, 2012 to Nov 19, 2012
Assets in custody · unset to 59000000.0
Oct 22, 2012 to Nov 19, 2012
Custody of client assets · false to true
Oct 22, 2012 to Nov 19, 2012
Employees · unset to 1.0
Oct 22, 2012 to Nov 19, 2012
State-registered IARs · unset to 0.0
Oct 22, 2012 to Nov 19, 2012
HQ city · BALA CYNWYD to PROVIDENCE
Mar 20, 2012 to Oct 22, 2012
HQ state · PA to RI
Mar 20, 2012 to Oct 22, 2012
Discretionary RAUM · $45.0M to $59.0M
Dec 13, 2011 to Mar 20, 2012
RAUM · $45.0M to $59.0M
Dec 13, 2011 to Mar 20, 2012
Related adviser · false to true
Dec 13, 2011 to Mar 20, 2012

Signals

1 dated events

C••••••• C•••••• filed its initial SEC registration (Form ADV)
Nov 18, 2014 · First SEC registration · fact

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