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••••••• F•••• G•• L••
Latest filing Mar 10, 2026
First filing on the tape Jun 27, 2019 · 10 filings
SEC status approved since Jul 25, 2019
RAUM
$440M
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
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$440M as of Mar 10, 2026
Feb 7, 2020$183M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Feb 7, 20200 then
Employees (5.A)4 as of Mar 10, 2026
Feb 7, 20205 then
Private funds1 as of Mar 10, 2026
Feb 7, 20201 then
RAUM +19% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2026; 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
- $440MderivedRAUM 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
- +19%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $440M, 1 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$440M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $440M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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 |
|---|---|---|---|---|
| T•• C••••••• P•••••• A••••• F•••• L••• | Hedge Fund | $319M | 80 | Mar 21, 2012 |
| T•• C••••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $12.2M | 14 | Mar 29, 2016 |
| C••••••• C•• R••• E••••• O••••••••• F•••• L•no longer reported | Real Estate Fund | $7.6M | 11 | Mar 19, 2013 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• H•••• L••• · Managing Membercontrolsince 09/2010 · owns less than 5%
- M•••••• T••••••• R••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- W••••••• J•••• R••••••• · Managing Membercontrolsince 09/2010 · owns less than 5%
- M•••••• H•••• L••• · Managing Membercontrolsince 04/2010 · owns 25% to 50% of C••••••• C••••••• L••
- M•••••• T••••••• R••••• · Managing Membercontrolsince 01/2024 · owns F of C••••••• C••••••• L••
- W••••••• J•••• R••••••• · Managing Membercontrolsince 04/2010 · owns 25% to 50% of C••••••• C••••••• L••
Entity owners
- C••••••• C••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••• C••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $370M to $440MMar 12, 2025 to Mar 10, 2026
- Employees · 5 to 4Mar 12, 2025 to Mar 10, 2026
- Discretionary RAUM · $370M to $440MMar 12, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · $370M to $440MMar 12, 2025 to Mar 10, 2026
- RAUM · $370M to $440MMar 12, 2025 to Mar 10, 2026
- Assets in custody · $319M to $370MMar 27, 2024 to Mar 12, 2025
- Employees · 6 to 5Mar 27, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 12, 2025
- Discretionary RAUM · $319M to $370MMar 27, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $319M to $370MMar 27, 2024 to Mar 12, 2025
- RAUM · $319M to $370MMar 27, 2024 to Mar 12, 2025
- Advisory employees · 5 to 4Jul 6, 2023 to Mar 27, 2024
- Assets in custody · $289M to $319MJul 6, 2023 to Mar 27, 2024
- Employees · 5 to 6Jul 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $289M to $319MJul 6, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $289M to $319MJul 6, 2023 to Mar 27, 2024
- RAUM · $289M to $319MJul 6, 2023 to Mar 27, 2024
- Advisory employees · 4 to 5Mar 27, 2023 to Jul 6, 2023
- Assets in custody · $290M to $289MMar 27, 2023 to Jul 6, 2023
- Employees · 4 to 5Mar 27, 2023 to Jul 6, 2023
- Discretionary RAUM · $290M to $289MMar 27, 2023 to Jul 6, 2023
- Pooled vehicle RAUM · $290M to $289MMar 27, 2023 to Jul 6, 2023
- RAUM · $290M to $289MMar 27, 2023 to Jul 6, 2023
- Assets in custody · $242M to $290MMar 11, 2022 to Mar 27, 2023
- Discretionary RAUM · $242M to $290MMar 11, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $242M to $290MMar 11, 2022 to Mar 27, 2023
- RAUM · $242M to $290MMar 11, 2022 to Mar 27, 2023
- Assets in custody · $211M to $242MMar 26, 2021 to Mar 11, 2022
- Discretionary RAUM · $211M to $242MMar 26, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $211M to $242MMar 26, 2021 to Mar 11, 2022
- RAUM · $211M to $242MMar 26, 2021 to Mar 11, 2022
- Advisory employees · 5 to 4Apr 28, 2020 to Mar 26, 2021
- Advisory activities · 1 to 2Apr 28, 2020 to Mar 26, 2021
- Assets in custody · $183M to $211MApr 28, 2020 to Mar 26, 2021
- Employees · 5 to 4Apr 28, 2020 to Mar 26, 2021
- Discretionary RAUM · $183M to $211MApr 28, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $183M to $211MApr 28, 2020 to Mar 26, 2021
- RAUM · $183M to $211MApr 28, 2020 to Mar 26, 2021
- Advisory employees · 4 to 5Jun 27, 2019 to Feb 7, 2020
- Assets in custody · $168M to $183MJun 27, 2019 to Feb 7, 2020
Signals
1 dated events
- C••••••• F•••• G•• L•• filed its initial SEC registration (Form ADV)Jun 27, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• F•••• G•• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 704-243-9468reportedpublic record, Form ADV, Mar 10, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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••••••• F•••• G•• 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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