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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••• I••••••••• P•••••••• L••

Former SEC-registered adviserRaleigh, North CarolinaCRD 161886SEC 801-74482IAPD
Latest filing Mar 31, 2020
First filing on the tape Mar 1, 2012 · 14 filings
RAUM
$139M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$140M gross assets
History
14 filings and snapshots on the tape
RAUM$139M as of Mar 31, 2020
Mar 28, 2013$505M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Mar 28, 20130 then
Employees (5.A)8 as of Mar 31, 2020
Mar 28, 20137 then
Private funds3 as of Mar 31, 2020
Mar 28, 20134 then
RAUM -47% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2020; 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
$139MderivedRAUM 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
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)
  • 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$139M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• I••••••••• P••••••• I•• L•••Real Estate Fund$22.0M15Mar 1, 2012
      C••••••• I••••••••• P••••••• I•• L•••no longer reportedReal Estate Fund$2.2M21Mar 1, 2012
      C••••••• I••••••••• P••••••• I••• L•••Real Estate Fund$795,90042Mar 1, 2012
      C••••••• I••••••••• P••••••• I•• P••••••• F•••• L•••Real Estate Fund$341,1006Mar 1, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• T•••••• F•••••• · Chief Executive Officercontrol
        since 07/1998 · owns 50% to 75%
      • M••••••••• J•••• A•••••• · Managing Directorcontrol
        since 07/1998 · owns 25% to 50%
      • B••••••••• B•••• A•••• · Managing Director/Chief Compliance Officer
        since 07/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••• I•••••••• I••• L•••
        pooled vehicle sponsorn
      • C••••••• I•••••••• I•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 9 to 8
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $263M to $139M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $263M to $139M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $263M to $139M
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 6 to 5
        Oct 1, 2018 to Mar 29, 2019
      • Employees · 11 to 9
        Oct 1, 2018 to Mar 29, 2019
      • Discretionary RAUM · $278M to $263M
        Oct 1, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $278M to $263M
        Oct 1, 2018 to Mar 29, 2019
      • RAUM · $278M to $263M
        Oct 1, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 10 to 11
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $327M to $278M
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 278320000.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $327M to $278M
        Mar 29, 2017 to Mar 29, 2018
      • Related adviser · true to false
        Mar 29, 2017 to Mar 29, 2018
      • Accounts · 4 to 3
        Mar 30, 2016 to Mar 29, 2017
      • Advisory employees · 5 to 6
        Mar 30, 2016 to Mar 29, 2017
      • Employees · 11 to 10
        Mar 30, 2016 to Mar 29, 2017
      • Private funds · 4 to 3
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $382M to $327M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $382M to $327M
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $397M to $382M
        Nov 13, 2015 to Mar 30, 2016
      • RAUM · $397M to $382M
        Nov 13, 2015 to Mar 30, 2016
      • Discretionary RAUM · $492M to $397M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $492M to $397M
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 5
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 7 to 11
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $505M to $492M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $505M to $492M
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 3 to 4
        Dec 13, 2012 to Mar 28, 2013
      • Employees · 9 to 7
        Dec 13, 2012 to Mar 28, 2013
      • Discretionary RAUM · $625M to $505M
        Dec 13, 2012 to Mar 28, 2013
      • RAUM · $625M to $505M
        Dec 13, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Mar 1, 2012 to Dec 13, 2012
      • BD registered reps · unset to 0.0
        Mar 1, 2012 to Dec 13, 2012
      • Employees · unset to 9.0
        Mar 1, 2012 to Dec 13, 2012
      • State-registered IARs · unset to 0.0
        Mar 1, 2012 to Dec 13, 2012
      • Related adviser · false to true
        Mar 1, 2012 to Dec 13, 2012
      Signals
      1 dated events
      • C••••••• I••••••••• P•••••••• L•• reported RAUM $139.0M, down 47% from $262.8M (2019-03-29 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      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••••••• I••••••••• 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.

      Checking your plan…