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•••••••• •••••••• I••••••••• P•• L••••••
Latest filing Sep 26, 2025
First filing on the tape Apr 2, 2014 · 28 filings
SEC status approved since Apr 11, 2014
RAUM
$10B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
26%
$2.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$10B as of Sep 26, 2025
Sep 29, 2014$2.2B then
HNW client RAUM$2.6B as of Sep 26, 2025
Sep 27, 2018$5.2B then
State-registered IARs (5.B.3)0 as of Sep 26, 2025
Sep 29, 20140 then
Employees (5.A)28 as of Sep 26, 2025
Sep 29, 201424 then
Private funds1 as of Sep 28, 2017
Sep 29, 20153 then
RAUM -7.1% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 26, 2025; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $91.1MderivedHNW RAUM over HNW clients
- Average account
- $244MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%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
- -23%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 individuals, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$7.5B74%
- High-net-worth individuals$2.6B26%
- Individual clients
- n/areported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 42reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.26 fund_share=0.73 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• I•• L•••no longer reported | Hedge Fund | $151M | 19 | Sep 28, 2016 |
| B••• B•• F••• I• L•••no longer reported | Hedge Fund | $28.0M | 1 | Sep 29, 2015 |
| B••• B•• F••• I•• L•••no longer reported | Hedge Fund | $7.0M | 1 | Sep 29, 2015 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• N•••••• E••••• · Chief Financial Officercontrolsince 08/2019 · owns less than 5%
- M••••••• M••••••• J••• · Co-Chief Investment Officercontrolsince 09/2011 · owns less than 5%
- M••••• M••••••• N•• · General Counselcontrolsince 07/2015 · owns less than 5%
- S•••••• D••••• B•••••• · Vice Chairman Officercontrolsince 10/2016 · owns less than 5%
- S••••••••• R•••••• J•••• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- V•••••• J••••• W•••••• · Co-Chief Investment Officercontrolsince 01/2016 · owns less than 5%
- M••••••• M••••••• J••• · Directorcontrolsince 07/2020 · owns F of C•••••••• H••••••• C• P•• L••••••
- M••••• M••••••• N•• · Directorcontrolsince 07/2020 · owns F of C•••••••• H••••••• C• P•• L••••••
- V•••••• J••••• W•••••• · Directorcontrolsince 07/2020 · owns F of C•••••••• H••••••• C• P•• L••••••
Entity owners
- C•••••••• H••••••• C• P•• L•••••• · Sole Ownerdirect · owns 75% or more
- A••••• G••••• H••••••• P•• L•••••• A• T•••••• O• T•• M•••••• F••••• T•••• · Shareholder Of Class B Sharesindirect · owns 75% or more of C•••••••• H••••••• C• P•• L••••••
- M•••••••• P•• L•••••• A• T•••••• F•• G•• F••••• T•••• · Shareholder Of Class A Sharesindirect · owns 75% or more of C•••••••• H••••••• C• P•• L••••••
Related persons
Schedule D 7.A
- A••••• S••••• N••••••• P•• L••••••pooled vehicle sponsory
- C•••••••• C•••••••• G•• L••pooled vehicle sponsory
- C•••••••• G•• L••pooled vehicle sponsory
- C•••••••• U•• L•investment advisernRAUM $3.7B
Advisers that list C•••••••• •••••••• I••••••••• P•• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 26, 2025E•••••• N•••••• E••••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-01-23 and 2025-09-26peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 44 to 42Jan 6, 2025 to Sep 26, 2025
- Advisory employees · 10 to 9Jan 6, 2025 to Sep 26, 2025
- HNW clients · 31 to 29Jan 6, 2025 to Sep 26, 2025
- Employees · 30 to 28Jan 6, 2025 to Sep 26, 2025
- Discretionary RAUM · $7.7B to $9.3BJan 6, 2025 to Sep 26, 2025
- HNW RAUM · $2.1B to $2.6BJan 6, 2025 to Sep 26, 2025
- Non-discretionary RAUM · $849M to $909MJan 6, 2025 to Sep 26, 2025
- Pooled vehicle RAUM · $6.4B to $7.5BJan 6, 2025 to Sep 26, 2025
- RAUM · $8.5B to $10BJan 6, 2025 to Sep 26, 2025
- Financial planning clients · unset to Sep 18, 2024 to Jan 6, 2025
- HQ state · unset to Sep 18, 2024 to Jan 6, 2025
- Accounts · 49 to 44Jan 23, 2024 to Sep 18, 2024
- Advisory employees · 13 to 10Jan 23, 2024 to Sep 18, 2024
- HNW clients · 33 to 31Jan 23, 2024 to Sep 18, 2024
- Pooled vehicle clients · 13 to 12Jan 23, 2024 to Sep 18, 2024
- Employees · 33 to 30Jan 23, 2024 to Sep 18, 2024
- Discretionary RAUM · $10.0B to $7.7BJan 23, 2024 to Sep 18, 2024
- HNW RAUM · $2.7B to $2.1BJan 23, 2024 to Sep 18, 2024
- Non-discretionary RAUM · $1.0B to $849MJan 23, 2024 to Sep 18, 2024
- Pooled vehicle RAUM · $8.2B to $6.4BJan 23, 2024 to Sep 18, 2024
- RAUM · $11B to $8.5BJan 23, 2024 to Sep 18, 2024
- Accounts · 39 to 49Mar 28, 2023 to Aug 25, 2023
- HNW clients · 21 to 33Mar 28, 2023 to Aug 25, 2023
- Employees · 34 to 33Mar 28, 2023 to Aug 25, 2023
- Discretionary RAUM · $7.1B to $10.0BMar 28, 2023 to Aug 25, 2023
- HNW RAUM · $2.6B to $2.7BMar 28, 2023 to Aug 25, 2023
- Non-discretionary RAUM · $819M to $1.0BMar 28, 2023 to Aug 25, 2023
- Pooled vehicle RAUM · $5.1B to $8.2BMar 28, 2023 to Aug 25, 2023
- RAUM · $8.0B to $11BMar 28, 2023 to Aug 25, 2023
- Accounts · 38 to 39Mar 29, 2022 to Sep 28, 2022
- Advisory employees · 12 to 13Mar 29, 2022 to Sep 28, 2022
- HNW clients · 20 to 21Mar 29, 2022 to Sep 28, 2022
- Employees · 33 to 34Mar 29, 2022 to Sep 28, 2022
- Discretionary RAUM · $16B to $7.1BMar 29, 2022 to Sep 28, 2022
- HNW RAUM · $6.8B to $2.6BMar 29, 2022 to Sep 28, 2022
- Non-discretionary RAUM · $2.0B to $819MMar 29, 2022 to Sep 28, 2022
- Pooled vehicle RAUM · $11B to $5.1BMar 29, 2022 to Sep 28, 2022
- RAUM · $18B to $8.0BMar 29, 2022 to Sep 28, 2022
- Accounts · 37 to 38Mar 31, 2021 to Sep 24, 2021
- Pooled vehicle clients · 12 to 13Mar 31, 2021 to Sep 24, 2021
Signals
17 dated events
- Jason Robert Silverstein (Chief Compliance Officer) appeared on Schedule A of C•••••••• •••••••• I••••••••• P•• L••••••Jan 23, 2024 · Control person joined · fact
- Alexander Mark Nelson (Chairman) no longer on Schedule A of C•••••••• •••••••• I••••••••• P•• L•••••• (listed 2023-08-25, absent 2024-01-23)Jan 23, 2024 · Control person left · inference
- Nicole Heather Hilgers (Chief Compliance Officer) no longer on Schedule A of C•••••••• •••••••• I••••••••• P•• L•••••• (listed 2023-03-28, absent 2023-08-25)Aug 25, 2023 · Control person left · inference
- C•••••••• •••••••• I••••••••• P•• L•••••• reported RAUM $11.0B, up 38% from $8.0B (2023-03-28 to 2023-08-25)Aug 25, 2023 · RAUM change · derived
- C•••••••• •••••••• I••••••••• P•• L•••••• reported RAUM $8.0B, down 57% from $18.4B (2022-03-29 to 2022-09-28)Sep 28, 2022 · RAUM change · derived
- C•••••••• •••••••• I••••••••• P•• L•••••• reported RAUM $18.4B, up 55% from $11.8B (2021-03-31 to 2021-09-24)Sep 24, 2021 · RAUM change · derived
- Gordon Michael Darling (Shareholder) no longer on Schedule A of C•••••••• •••••••• I••••••••• P•• L•••••• (listed 2020-03-31, absent 2020-09-28)Sep 28, 2020 · Control person left · inference
- C•••••••• •••••••• I••••••••• P•• L•••••• reported RAUM $11.8B, up 31% from $9.1B (2020-03-31 to 2020-09-28)Sep 28, 2020 · RAUM change · derived
- David Ian Darling (Shareholder) no longer on Schedule A of C•••••••• •••••••• I••••••••• P•• L•••••• (listed 2020-03-31, absent 2020-09-28)Sep 28, 2020 · Control person left · inference
- C•••••••• •••••••• I••••••••• P•• L•••••• reported RAUM $9.1B, down 25% from $12.1B (2019-08-01 to 2019-09-26)Sep 26, 2019 · RAUM change · derived
- David Bernard Stanton (Director) no longer on Schedule A of C•••••••• •••••••• I••••••••• P•• L•••••• (listed 2019-03-27, absent 2019-08-01)Aug 1, 2019 · Control person left · inference
- Anthony Luke Stevens (Chief Financial Officer) no longer on Schedule A of C•••••••• •••••••• I••••••••• P•• L•••••• (listed 2019-03-27, absent 2019-08-01)Aug 1, 2019 · Control person left · inference
- Edward Nathan Easter (Chief Financial Officer) appeared on Schedule A of C•••••••• •••••••• I••••••••• P•• L••••••Aug 1, 2019 · Control person joined · fact
- David Bernard Stanton (Director) appeared on Schedule A of C•••••••• •••••••• I••••••••• P•• L••••••Mar 27, 2019 · Control person joined · fact
- Nicole Heather Hilgers (Chief Compliance Officer) appeared on Schedule A of C•••••••• •••••••• I••••••••• P•• L••••••Mar 27, 2019 · Control person joined · fact
- C•••••••• •••••••• I••••••••• P•• L•••••• reported RAUM $12.1B, up 74% from $6.9B (2017-09-28 to 2018-09-27)Sep 27, 2018 · RAUM change · derived
- C•••••••• •••••••• I••••••••• P•• L•••••• filed its initial SEC registration (Form ADV)Apr 2, 2014 · 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
- Business phone
- 347-287-3760reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••••••.COM.AUreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 011-612-92557600reportedpublic record, Form ADV, Sep 26, 2025
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
- Wealth manager with institutional or fund businessderiveda 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