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•••••• P•••• S••••• S•••

Former SEC-registered adviserGeneva, CRD 159909SEC 801-73065IAPD
Latest filing Mar 25, 2020
First filing on the tape Jan 17, 2012 · 20 filings
RAUM
$22.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$22.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$22.6M as of Mar 25, 2020
Apr 1, 2013$8.8M then
HNW client RAUM$19.6M as of Mar 25, 2020
Mar 28, 2018$13.2M then
State-registered IARs (5.B.3)0 as of Mar 25, 2020
Apr 1, 20130 then
Employees (5.A)3 as of Mar 25, 2020
Apr 1, 20135 then
Private funds1 as of Mar 31, 2017
Apr 1, 20132 then
RAUM +51% over the last fiscal year-43% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 25, 2020; 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
$392,917derivedHNW RAUM over HNW clients
Average account
$256,328derivedRAUM 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
+51%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+64%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$19.6M87%
  • Individuals$2.9M13%
Individual clients
19reported
HNW clients
50reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
88reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    E••• P••••• R••• F•• L•no longer reportedReal Estate Fund$86.5M174Aug 27, 2016
    C•••••• P•••• S••••• F••• S••••• S•••••••••no longer reportedOther Private Fund$01Jan 17, 2012
    A••••••• I• F••• I•• L•no longer reportedOther Private Fund$01Apr 1, 2013
    Owners and control persons
    Schedule A and B, latest filing
    • F•••• J•••• R•••••• · Shareholder, Board Of Directorscontrol
      since 12/2011 · owns 10% to 25%
    • G••••• G••• A•••• · Director Of Administration Switzerland And Board Of Directors Cpscontrol
      since 12/2011 · owns 10% to 25%
    • S•••••• J•••••• G••• · Chief Compliance Officer, Ceo, Board Of Directorscontrol
      since 12/2011 · owns 25% to 50%
    • S•••••• J•••••• G••• · Officer Or Director Of Registrant, Managing Member Of Holding Companycontrol
      since 12/2011 · owns 25% to 50% of C•••••• P•••• S••••• •••• H•••••••• L••
    • R••••••• F••••• S••••• · Shareholder
      since 12/2011 · owns 10% to 25%
    • R••••••• F••••• S••••• · Shareholder Of Registrant, Member Of Holding Company
      since 12/2011 · owns 25% to 50% of C•••••• P•••• S••••• •••• H•••••••• L••
    Entity owners
    • C•••••• P•••• S••••• •••• H•••••••• L•• · Lender - With Equity Participation, Passive - Owned By J••••• S•••••, F•••• R••••••
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • C•• F••••• O••••• S••••••• P•
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    • Bellevue, WA2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 75 to 88
      Mar 11, 2019 to Mar 25, 2020
    • Advisory employees · 3 to 2
      Mar 11, 2019 to Mar 25, 2020
    • HNW clients · 20 to 50
      Mar 11, 2019 to Mar 25, 2020
    • Individual clients · 22 to 19
      Mar 11, 2019 to Mar 25, 2020
    • Employees · 4 to 3
      Mar 11, 2019 to Mar 25, 2020
    • Other offices · 2 to 1
      Mar 11, 2019 to Mar 25, 2020
    • Discretionary RAUM · $15.0M to $22.6M
      Mar 11, 2019 to Mar 25, 2020
    • HNW RAUM · $12.4M to $19.6M
      Mar 11, 2019 to Mar 25, 2020
    • Individual RAUM · $2.6M to $2.9M
      Mar 11, 2019 to Mar 25, 2020
    • RAUM · $15.0M to $22.6M
      Mar 11, 2019 to Mar 25, 2020
    • Accounts · 43 to 75
      Aug 9, 2018 to Mar 11, 2019
    • HNW clients · 23 to 20
      Aug 9, 2018 to Mar 11, 2019
    • Individual clients · 20 to 22
      Aug 9, 2018 to Mar 11, 2019
    • Financial planning clients · 26-50 to 51-100
      Aug 9, 2018 to Mar 11, 2019
    • Discretionary RAUM · $14.6M to $15.0M
      Aug 9, 2018 to Mar 11, 2019
    • HNW RAUM · $13.2M to $12.4M
      Aug 9, 2018 to Mar 11, 2019
    • Individual RAUM · $1.4M to $2.6M
      Aug 9, 2018 to Mar 11, 2019
    • RAUM · $14.6M to $15.0M
      Aug 9, 2018 to Mar 11, 2019
    • Accounts · 49 to 43
      Nov 27, 2017 to Mar 28, 2018
    • Advisory activities · 5 to 4
      Nov 27, 2017 to Mar 28, 2018
    • BD registered reps · 1 to 0
      Nov 27, 2017 to Mar 28, 2018
    • HNW clients · 49 to 23
      Nov 27, 2017 to Mar 28, 2018
    • Individual clients · 0 to 20
      Nov 27, 2017 to Mar 28, 2018
    • Employees · 5 to 4
      Nov 27, 2017 to Mar 28, 2018
    • Financial planning clients · 11-25 to 26-50
      Nov 27, 2017 to Mar 28, 2018
    • Discretionary RAUM · $13.3M to $14.6M
      Nov 27, 2017 to Mar 28, 2018
    • HNW RAUM · $13.3M to $13.2M
      Nov 27, 2017 to Mar 28, 2018
    • Individual RAUM · $0 to $1.4M
      Nov 27, 2017 to Mar 28, 2018
    • RAUM · $13.3M to $14.6M
      Nov 27, 2017 to Mar 28, 2018
    • Related broker-dealer · true to false
      Nov 27, 2017 to Mar 28, 2018
    • Accounts · 39 to 49
      Mar 31, 2017 to Nov 27, 2017
    • Advisory activities · 6 to 5
      Mar 31, 2017 to Nov 27, 2017
    • BD registered reps · 2 to 1
      Mar 31, 2017 to Nov 27, 2017
    • Charity clients · unset to 0.0
      Mar 31, 2017 to Nov 27, 2017
    • Corporate clients · unset to 0.0
      Mar 31, 2017 to Nov 27, 2017
    • HNW clients · unset to 49.0
      Mar 31, 2017 to Nov 27, 2017
    • Individual clients · unset to 0.0
      Mar 31, 2017 to Nov 27, 2017
    • Pension plan clients · unset to 0.0
      Mar 31, 2017 to Nov 27, 2017
    • Pooled vehicle clients · unset to 0.0
      Mar 31, 2017 to Nov 27, 2017
    • Other offices · unset to 2.0
      Mar 31, 2017 to Nov 27, 2017
    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
    Across the graphs

    C•••••• P•••• S••••• S••• is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

    Checking your plan…