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••••• C•••••• A•••••••• L••
Latest filing Mar 27, 2018
First filing on the tape Feb 14, 2012 · 9 filings
RAUM
$175M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$175M gross assets
History
9 filings and snapshots on the tape
RAUM$175M as of Mar 27, 2018
Mar 28, 2013$309M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 28, 20130 then
Employees (5.A)7 as of Mar 27, 2018
Mar 28, 20139 then
Private funds4 as of Mar 27, 2018
Mar 28, 20137 then
RAUM -47% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $87.3MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -47%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 vehiclesreportedItem 5.G
- Custody
- $175M, 2 clientsreportedItem 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
- 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)
- 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
- Pooled investment vehicles$175M100%
- 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
- $175M for 2 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••••• G•••• I• L•no longer reported | Private Equity Fund | $178M | 74 | Feb 14, 2012 |
| C••••• C•••••• G•••• V• L• | Private Equity Fund | $174M | 73 | Feb 14, 2012 |
| C••••• C•••••• G•••• I• L•no longer reported | Private Equity Fund | $54.3M | 73 | Feb 14, 2012 |
| C••••• C•••••• G•••• L•no longer reported | Private Equity Fund | $27.5M | 74 | Feb 14, 2012 |
| C••••• F•••••••• G•••• L• | Private Equity Fund | $927,026 | 73 | Feb 14, 2012 |
| C••••• C•••••• G•••• I•• L• | Private Equity Fund | $0 | 0 | Feb 14, 2012 |
| C••••• C•••••• G•••• V• L• | Private Equity Fund | $0 | 0 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• R•••••• B•••••• · Principal, Membercontrolsince 07/2007 · owns 25% to 50%
- L•••••• E•••••• A•••• · Managing Principal, Managing Membercontrolsince 07/2007 · owns 25% to 50%
- M••••••• R•••••• J••••• · Chief Compliance Officer And Senior Vice Presidentcontrolsince 01/2016 · owns less than 5%
- R•••••• C••••••• K•••• · Chief Financial Officer And Senior Vice Presidentcontrolsince 03/2016 · owns less than 5%
- R•••• J•••• W••••• · Principal, Membercontrolsince 07/2007 · owns 25% to 50%
- S•••••••• J•••• P• · Managing Directorcontrolsince 07/2007 · owns less than 5%
Related persons
Schedule D 7.A
- C••••• C•••••• A••••••••• G•••• L••pooled vehicle sponsorn
- C••••• C•••••• G•••• I•• L••pooled vehicle sponsorn
- C••••• C•••••• G•••• V• L••pooled vehicle sponsorn
- C••••• C•••••• G•••• V• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 2Mar 30, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 2.0Mar 30, 2017 to Mar 27, 2018
- Assets in custody · $329M to $175MMar 30, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Discretionary RAUM · $329M to $175MMar 30, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 174536772.0Mar 30, 2017 to Mar 27, 2018
- RAUM · $329M to $175MMar 30, 2017 to Mar 27, 2018
- Accounts · 5 to 4Aug 8, 2016 to Mar 30, 2017
- Assets in custody · $342M to $329MAug 8, 2016 to Mar 30, 2017
- Private funds · 5 to 4Aug 8, 2016 to Mar 30, 2017
- Discretionary RAUM · $342M to $329MAug 8, 2016 to Mar 30, 2017
- RAUM · $342M to $329MAug 8, 2016 to Mar 30, 2017
- Accounts · 6 to 5Jan 14, 2016 to Mar 30, 2016
- Assets in custody · $502M to $342MJan 14, 2016 to Mar 30, 2016
- Private funds · 6 to 5Jan 14, 2016 to Mar 30, 2016
- Discretionary RAUM · $502M to $342MJan 14, 2016 to Mar 30, 2016
- RAUM · $502M to $342MJan 14, 2016 to Mar 30, 2016
- Employees · 8 to 7Mar 16, 2015 to Jan 14, 2016
- Accounts · 7 to 6Mar 10, 2014 to Mar 16, 2015
- Assets in custody · $427M to $502MMar 10, 2014 to Mar 16, 2015
- Private funds · 7 to 6Mar 10, 2014 to Mar 16, 2015
- Discretionary RAUM · $427M to $502MMar 10, 2014 to Mar 16, 2015
- RAUM · $427M to $502MMar 10, 2014 to Mar 16, 2015
- Advisory employees · 6 to 5Mar 28, 2013 to Mar 10, 2014
- Assets in custody · $309M to $427MMar 28, 2013 to Mar 10, 2014
- Employees · 9 to 8Mar 28, 2013 to Mar 10, 2014
- Discretionary RAUM · $309M to $427MMar 28, 2013 to Mar 10, 2014
- RAUM · $309M to $427MMar 28, 2013 to Mar 10, 2014
- Advisory employees · unset to 6.0Feb 14, 2012 to Mar 28, 2013
- BD registered reps · unset to 0.0Feb 14, 2012 to Mar 28, 2013
- Assets in custody · unset to 308833089.0Feb 14, 2012 to Mar 28, 2013
- Custody of client assets · false to trueFeb 14, 2012 to Mar 28, 2013
- Employees · unset to 9.0Feb 14, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0Feb 14, 2012 to Mar 28, 2013
- Discretionary RAUM · $370M to $309MFeb 14, 2012 to Mar 28, 2013
- RAUM · $370M to $309MFeb 14, 2012 to Mar 28, 2013
- Related adviser · false to trueFeb 14, 2012 to Mar 28, 2013
Signals
1 dated events
- C••••• C•••••• A•••••••• L•• reported RAUM $174.5M, down 47% from $328.9M (2017-03-30 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
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