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•••••• A•••••••

Former SEC-registered adviserSan Jose, CaliforniaCRD 159993SEC 801-72959IAPD
Legal name C•••••• A•••••• S••••••••• I••
Latest filing Jan 28, 2014
First filing on the tape Dec 8, 2011 · 13 filings
RAUM
$0
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$0 as of Jan 28, 2014
Jan 4, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2014
Jan 2, 20130 then
Employees (5.A)7 as of Jan 28, 2014
Jan 2, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 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
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
unknownderived1 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
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, 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
0reported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L•••• E••••••••• N•• · Executive Vice President, Co-Ceo, Cfocontrol
    since 12/2011 · owns less than 5%
  • L•••• F•••••• A••• · Co-Ceocontrol
    since 12/2011 · owns less than 5%
  • T••••• J••••• M••••• · Chief Compliance Officercontrol
    since 12/2011 · owns less than 5%
  • L•••• E••••••••• N•• · Executive Vp / Co-Ceo / Board Director / Trusteecontrol
    since 03/2006 · owns 25% to 50% of Trustee Of T•• L••• T••••, Which Is The Majority Shareholder Of The Parent Company: C•••••• G••••• G•••• L••.
  • L•••• F•••••• A••• · Co-Ceo / Board Director / Trusteecontrol
    since 03/2006 · owns 25% to 50% of Trustee Of T•• L••• T••••, The Majority Shareholder Of The Parent Company: C•••••• G••••• G•••• L••.
  • T••••• D••••••• W•••••• · President
    since 12/2011 · owns less than 5%
Entity owners
  • C•••••• G••••• G•••• L•• · Parent Company
    direct · owns 75% or more
  • T•• L••• T•••• · Trust
    indirect · owns 50% to 75% of C•••••• G••••• G•••• L••.
Related persons
Schedule D 7.A
Advisers that list 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 · unset to 0.0
    Nov 25, 2013 to Jan 28, 2014
  • Discretionary RAUM · unset to 0.0
    Nov 25, 2013 to Jan 28, 2014
  • Non-discretionary RAUM · unset to 0.0
    Nov 25, 2013 to Jan 28, 2014
  • RAUM · unset to 0.0
    Nov 25, 2013 to Jan 28, 2014
  • Accounts · 0.0 to unset
    Oct 3, 2012 to Jan 2, 2013
  • Advisory employees · unset to 6.0
    Oct 3, 2012 to Jan 2, 2013
  • BD registered reps · unset to 0.0
    Oct 3, 2012 to Jan 2, 2013
  • Employees · unset to 7.0
    Oct 3, 2012 to Jan 2, 2013
  • State-registered IARs · unset to 0.0
    Oct 3, 2012 to Jan 2, 2013
  • Discretionary RAUM · 0.0 to unset
    Oct 3, 2012 to Jan 2, 2013
  • Non-discretionary RAUM · 0.0 to unset
    Oct 3, 2012 to Jan 2, 2013
  • RAUM · 0.0 to unset
    Oct 3, 2012 to Jan 2, 2013
  • Related insurance company · false to true
    Oct 3, 2012 to Jan 2, 2013
  • Insurance-licensed employees · 6 to 0
    Dec 13, 2011 to Jan 4, 2012
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