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••••• R••••• P•••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 161299SEC 801-74036IAPD
Latest filing Mar 31, 2015
First filing on the tape Feb 14, 2012 · 5 filings
RAUM
$2.6B
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
40
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$2.6B gross assets
History
5 filings and snapshots on the tape
RAUM$2.6B as of Mar 31, 2015
Apr 1, 2013$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)40 as of Mar 31, 2015
Apr 1, 201346 then
Private funds4 as of Mar 31, 2015
Apr 1, 20135 then
RAUM -10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
$648MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-10%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, 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
  • 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)
  • 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, 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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• I••••••••• I••••••••• L•••no longer reportedReal Estate Fund$02Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• T•••••• J••••• · Ceocontrol
        since 03/2005 · owns 25% to 50%
      • B•••••• H••••• G••••• · Senior M••••••• Directorcontrol
        since 03/2005 · owns 10% to 25%
      • D••••••• D••• S•••• · M••••••• Directorcontrol
        since 12/2005 · owns less than 5%
      • F••••••• S••••• D•••• · Senior M••••••• Directorcontrol
        since 03/2005 · owns 10% to 25%
      • H••••••••• M•••• M•••••• · Senior M••••••• Directorcontrol
        since 03/2005 · owns 10% to 25%
      • S•••••••• R••••••• B•••• · Investment Committee M•••••control
        since 03/2005 · owns 10% to 25%
      • S••••••• D••••• R••••• · Chief Compliance Officercontrol
        since 04/2012 · owns less than 5%
      • W••••••• N•••• E••••• · Chief Financial Officercontrol
        since 10/2005 · owns less than 5%
      • B••••••• T•••••• J••••• · M•••••control
        since 03/2005 · owns 75% or more of C••••• C•••••• L••
      • S•••••••• R••••••• B•••• · M•••••control
        since 03/2005 · owns 25% to 50% of C••••• R••••• M•••••• L••
      Entity owners
      • C••••• R••••• M•••••• L•• · M••••••• M•••••
        direct · owns 50% to 75%
      • C••••• C•••••• L•• · M•••••
        indirect · owns 75% or more of C••••• Crp M••••••• M••••• LLC
      • C••••• C•• M••••••• M•••••• L•• · M•••••
        indirect · owns 50% to 75% of C••••• R••••• M•••••• L••
      Related persons
      Schedule D 7.A
      • C••••• C••••••• L••
        investment adviserpooled vehicle sponsornRAUM $9.4B
      • C••••• R••••• P••••••• G• I•• L•••
        investment adviserpooled vehicle sponsory
      • C••••• R••••• P••••••• G• I•• L••
        investment adviserpooled vehicle sponsory
      • C••••• R••••• P••••••• G• I••• L•••
        investment adviserpooled vehicle sponsory
      • C••••• R••••• P••••••• G• I••• L••
        investment adviserpooled vehicle sponsory
      • C••••• R••••• P••••••• G• I•• L•••
        investment adviserpooled vehicle sponsory
      • C••••• R••••• P••••••• G• I•• L••
        investment adviserpooled vehicle sponsory
      • C••••• R••••• P••••••• G•• L•••
        investment adviserpooled vehicle sponsory
      • C••••• R••••• P••••••• G•• L••
        investment adviserpooled vehicle sponsory
      Advisers that list C••••• R••••• P•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Irvine, CA
      • Santa Monica, CA
      What changed
      consecutive filings, newest first
      • Employees · 46 to 40
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.9B to $2.6B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $2.9B to $2.6B
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 5 to 4
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.2B to $2.9B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $3.2B to $2.9B
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 5 to 4
        May 8, 2012 to Apr 1, 2013
      • Advisory employees · unset to 9.0
        May 8, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 8, 2012 to Apr 1, 2013
      • Employees · unset to 46.0
        May 8, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        May 8, 2012 to Apr 1, 2013
      • Discretionary RAUM · $3.7B to $3.2B
        May 8, 2012 to Apr 1, 2013
      • RAUM · $3.7B to $3.2B
        May 8, 2012 to Apr 1, 2013
      • Discretionary RAUM · $3.8B to $3.7B
        Feb 14, 2012 to May 8, 2012
      • RAUM · $3.8B to $3.7B
        Feb 14, 2012 to May 8, 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
      Across the graphs

      C••••• R••••• P•••••••• L•• 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.

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