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
C••••••• C•••••• L••
Latest filing Mar 25, 2026
First filing on the tape May 30, 2013 · 41 filings
SEC status approved since Jun 5, 2013
RAUM
$668M
reported, Item 5.F
Discretionary
100%
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
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$668M as of Mar 25, 2026
Mar 28, 2014$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20140 then
Employees (5.A)14 as of Mar 25, 2026
Mar 28, 201419 then
Private funds3 as of Mar 25, 2026
Mar 28, 20144 then
RAUM -17% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $134MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$505M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.76 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• R••••••• F•••no longer reported | Hedge Fund | $535M | 39 | Mar 28, 2012 |
| C••••••• A••• F••• | Hedge Fund | $248M | 27 | Mar 28, 2012 |
| C••••••• A••• S•••••••• F••• | Hedge Fund | $210M | 11 | Feb 8, 2016 |
| C••••••• A••• 2• F••• | Hedge Fund | $177M | 14 | Mar 20, 2013 |
| C••••••• V••••••••• F•••no longer reported | Hedge Fund | $7.9M | 4 | Mar 3, 2017 |
| T•••••••• K••••• J•• F•••no longer reported | Hedge Fund | $1.7M | 14 | May 30, 2013 |
| T•••••••• D•••••••• F•••no longer reported | Hedge Fund | $335,210 | 14 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• M••••••• A••••• · Portfolio Managercontrolsince 11/2011 · owns 50% to 75%
- S•••• S••••• · Portfolio Managercontrolsince 11/2011 · owns 25% to 50%
- W•••••• M••••••• J•••• L•••• · Chief Compliance Officersince 01/2021 · owns less than 5%
Entity owners
- A••••••••• M••••••• G••••• I•• · Managing Memberindirect · owns 75% or more of A•• C•• H••••••• L•• · public reporting company
- A•• C•• H••••••• L•• · Shareholderindirect · owns 75% or more of C•• H••••••• L••
- C•• H••••••• L•• · Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••••• C•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 5Mar 14, 2025 to Mar 25, 2026
- Pooled vehicle clients · 3 to 4Mar 14, 2025 to Mar 25, 2026
- Discretionary RAUM · $809M to $668MMar 14, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $630M to $505MMar 14, 2025 to Mar 25, 2026
- RAUM · $809M to $668MMar 14, 2025 to Mar 25, 2026
- Employees · 15 to 14Mar 26, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 14, 2025
- HQ state · unset to Mar 26, 2024 to Mar 14, 2025
- Discretionary RAUM · $810M to $809MMar 26, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $635M to $630MMar 26, 2024 to Mar 14, 2025
- RAUM · $810M to $809MMar 26, 2024 to Mar 14, 2025
- Employees · 17 to 15Dec 4, 2023 to Mar 26, 2024
- Discretionary RAUM · $984M to $810MDec 4, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $831M to $635MDec 4, 2023 to Mar 26, 2024
- RAUM · $984M to $810MDec 4, 2023 to Mar 26, 2024
- Accounts · 5 to 4Mar 22, 2022 to Mar 23, 2023
- Employees · 20 to 17Mar 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $1.3B to $984MMar 22, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $1.0B to $831MMar 22, 2022 to Mar 23, 2023
- RAUM · $1.3B to $984MMar 22, 2022 to Mar 23, 2023
- Accounts · 6 to 5Jul 1, 2021 to Mar 22, 2022
- Discretionary RAUM · $1.2B to $1.3BJul 1, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $974M to $1.0BJul 1, 2021 to Mar 22, 2022
- RAUM · $1.2B to $1.3BJul 1, 2021 to Mar 22, 2022
- Employees · 21 to 20Mar 24, 2021 to Jul 1, 2021
- Employees · 18 to 21Jan 19, 2021 to Mar 24, 2021
- Discretionary RAUM · $1.2B to $1.2BJan 19, 2021 to Mar 24, 2021
- Pooled vehicle RAUM · $907M to $974MJan 19, 2021 to Mar 24, 2021
- RAUM · $1.2B to $1.2BJan 19, 2021 to Mar 24, 2021
- Accounts · 7 to 6Dec 18, 2019 to Mar 26, 2020
- Employees · 19 to 18Dec 18, 2019 to Mar 26, 2020
- Discretionary RAUM · $1.4B to $1.2BDec 18, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $1.1B to $907MDec 18, 2019 to Mar 26, 2020
- RAUM · $1.4B to $1.2BDec 18, 2019 to Mar 26, 2020
- Accounts · 6 to 7Aug 20, 2018 to Mar 26, 2019
- Employees · 17 to 19Aug 20, 2018 to Mar 26, 2019
- Discretionary RAUM · $1.4B to $1.4BAug 20, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $1.1B to $1.1BAug 20, 2018 to Mar 26, 2019
- RAUM · $1.4B to $1.4BAug 20, 2018 to Mar 26, 2019
- Accounts · 9 to 6Aug 31, 2017 to Mar 27, 2018
Signals
6 dated events
- C••••••• C•••••• L•• reported RAUM $983.8M, down 25% from $1.3B (2022-03-22 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- David Walter Richard Haas (Partner) no longer on Schedule A of C••••••• C•••••• L•• (listed 2021-03-24, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- S••••• S••• (Portfolio Manager) appeared on Schedule A of C••••••• C•••••• L••Mar 26, 2019 · Control person joined · fact
- A••••• M•••••• S••••• (Portfolio Manager) appeared on Schedule A of C••••••• C•••••• L••Mar 26, 2019 · Control person joined · fact
- C••••••• C•••••• L•• reported RAUM $1.4B, down 39% from $2.3B (2017-08-31 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- C••••••• C•••••• L•• filed its initial SEC registration (Form ADV)May 30, 2013 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 44 207 563 9400reportedpublic record, Form ADV, Mar 25, 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