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Former SEC-registered adviser

C••••••••• A•••••••• L•

Former SEC-registered adviserCRD 161473SEC 801-78298IAPD
Latest filing Oct 29, 2024
First filing on the tape Jun 27, 2013 · 19 filings
RAUM
$203M
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
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$203M as of Mar 28, 2024
Mar 27, 2014$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 27, 20140 then
Employees (5.A)3 as of Mar 28, 2024
Mar 27, 20144 then
Private funds: no history
RAUM +7.5% over the last fiscal year-6.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 29, 2024; 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
$102MderivedRAUM 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
+7.5%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, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$200M100%
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
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• P•••• · Founding Partner, Partner & Manager Of The General Partner Of C••••••••• A•••••••• L• & Ccocontrol
        since 07/2011 · owns 25% to 50%
      • F••••••• R••••••• J•••• · Founding Partnercontrol
        since 07/2011 · owns 25% to 50%
      • D••••• N••••••• T••••••••• · Trusteecontrol
        since 04/1998 · owns F of 3• T••••
      • D••••• P•••• · Manager, Partnercontrol
        since 12/2013 · owns 75% or more of C••••••••• 3• G• L••
      • Z•••••• D••••••••• J••• · Trusteecontrol
        since 12/2021 · owns 25% to 50% of 3• T••••
      Entity owners
      • C••••••••• 3• G• L•• · General Partner Of The Advisor
        direct · owns less than 5%
      • 3• F•••••••• E••••••••• L•• · Limited Partner
        direct · owns 25% to 50%
      • 3• T•••• · Member
        indirect · owns 75% or more of 3• F•••••••• E••••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      • Lakewood Rnach, FL
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Apr 4, 2024 to Oct 29, 2024
      • Employees · 3 to 4
        Apr 4, 2024 to Oct 29, 2024
      • Assets in custody · 7821218.0 to unset
        Mar 29, 2023 to Mar 28, 2024
      • Custody of client assets · true to false
        Mar 29, 2023 to Mar 28, 2024
      • Discretionary RAUM · $189M to $203M
        Mar 29, 2023 to Mar 28, 2024
      • RAUM · $189M to $203M
        Mar 29, 2023 to Mar 28, 2024
      • Assets in custody · $10.0M to $7.8M
        Mar 28, 2022 to Mar 29, 2023
      • Discretionary RAUM · $253M to $189M
        Mar 28, 2022 to Mar 29, 2023
      • RAUM · $253M to $189M
        Mar 28, 2022 to Mar 29, 2023
      • Assets in custody · $4.5M to $10.0M
        Mar 30, 2021 to Mar 28, 2022
      • Other offices · 1 to 2
        Mar 30, 2021 to Mar 28, 2022
      • Discretionary RAUM · $244M to $253M
        Mar 30, 2021 to Mar 28, 2022
      • RAUM · $244M to $253M
        Mar 30, 2021 to Mar 28, 2022
      • Assets in custody · $10.5M to $4.5M
        Mar 31, 2020 to Mar 29, 2021
      • Discretionary RAUM · $234M to $244M
        Mar 31, 2020 to Mar 29, 2021
      • RAUM · $234M to $244M
        Mar 31, 2020 to Mar 29, 2021
      • Assets in custody · $8.4M to $10.5M
        Mar 27, 2019 to Mar 31, 2020
      • Discretionary RAUM · $194M to $234M
        Mar 27, 2019 to Mar 31, 2020
      • RAUM · $194M to $234M
        Mar 27, 2019 to Mar 31, 2020
      • Assets in custody · $6.7M to $8.4M
        Mar 30, 2018 to Mar 27, 2019
      • Discretionary RAUM · $234M to $194M
        Mar 30, 2018 to Mar 27, 2019
      • RAUM · $234M to $194M
        Mar 30, 2018 to Mar 27, 2019
      • Assets in custody · unset to 6731623.0
        Mar 29, 2017 to Mar 30, 2018
      • Custody of client assets · false to true
        Mar 29, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $220M to $234M
        Mar 29, 2017 to Mar 30, 2018
      • RAUM · $220M to $234M
        Mar 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $204M to $220M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $204M to $220M
        Mar 30, 2016 to Mar 29, 2017
      • Accounts · 3 to 2
        Mar 31, 2015 to Mar 29, 2016
      • Advisory employees · 4 to 3
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 4 to 3
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $233M to $204M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $233M to $204M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 5 to 3
        Oct 23, 2014 to Mar 31, 2015
      • Discretionary RAUM · $229M to $233M
        Oct 23, 2014 to Mar 31, 2015
      • RAUM · $229M to $233M
        Oct 23, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        Mar 27, 2014 to Oct 23, 2014
      • Discretionary RAUM · $258M to $229M
        Mar 27, 2014 to Oct 23, 2014
      • RAUM · $258M to $229M
        Mar 27, 2014 to Oct 23, 2014
      Signals
      3 dated events
      • Serge Eugene Troubetzkoy (Trustee) no longer on Schedule A of C••••••••• A•••••••• L• (listed 2021-03-30, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      • J••• D•••••••• Z••••• (Trustee) appeared on Schedule A of C••••••••• A•••••••• L•
        Mar 28, 2022 · Control person joined · fact
      • C••••••••• A•••••••• L• filed its initial SEC registration (Form ADV)
        Jun 27, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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