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• A•••••••

Former SEC-registered adviserWest Conshohocken, PennsylvaniaCRD 163952SEC 801-77330IAPD
Legal name C• I••••••••• A••••••• L••
Latest filing Apr 29, 2015
First filing on the tape Oct 26, 2012 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$4.0M as of Jun 9, 2014
Apr 4, 2013$5,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 29, 2015
Apr 4, 20130 then
Employees (5.A)2 as of Apr 29, 2015
Apr 4, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
  • is a broker-dealer (6.A.1)
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
n/areported
Financial planning clients
0reported
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
      • S••••• B•••••• A•• · Ccocontrol
        since 09/2012 · owns less than 5%
      • S••••• B•••••• A•• · Managing Membercontrol
        since 03/2007 · owns 75% or more of C• I••••••••• L••
      • M••••••• F••••• P•••••••• · Managing Member
        since 10/2004 · owns 25% to 50% of M•••• C•••••• L••
      • M••••••• F••••• P•••••••• · Trustee
        since 10/2004 · owns 25% to 50% of Fp M•••••• III Family E•••••••• Trust
      • M••••••• F••••• P•••••••• · Trustee
        since 10/2004 · owns 25% to 50% of F• M•••••• I•• C••••••••• T••••
      Entity owners
      • C• I••••••••• L•• · Managing Member
        direct · owns 50% to 75%
      • M•••• C•••••• L•• · Member
        direct · owns 25% to 50%
      • F• M•••••• I•• C••••••••• T•••• · Member
        indirect · owns 25% to 50% of M•••• Company Llv
      • F• M•••••• I•• E•••••••• T•••• · Member
        indirect · owns 25% to 50% of M•••• Company Llv
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Jun 9, 2014 to Apr 29, 2015
      • Advisory employees · 2 to 0
        Jun 9, 2014 to Apr 29, 2015
      • Discretionary RAUM · 4000000.0 to unset
        Jun 9, 2014 to Apr 29, 2015
      • Non-discretionary RAUM · 0.0 to unset
        Jun 9, 2014 to Apr 29, 2015
      • RAUM · 4000000.0 to unset
        Jun 9, 2014 to Apr 29, 2015
      • Discretionary RAUM · $5,000 to $4.0M
        Apr 4, 2013 to Jun 9, 2014
      • RAUM · $5,000 to $4.0M
        Apr 4, 2013 to Jun 9, 2014
      • Discretionary RAUM · $5.0M to $5,000
        Mar 7, 2013 to Apr 4, 2013
      • RAUM · $5.0M to $5,000
        Mar 7, 2013 to Apr 4, 2013
      • Advisory employees · unset to 2.0
        Oct 26, 2012 to Nov 28, 2012
      • BD registered reps · unset to 1.0
        Oct 26, 2012 to Nov 28, 2012
      • Employees · unset to 2.0
        Oct 26, 2012 to Nov 28, 2012
      • State-registered IARs · unset to 0.0
        Oct 26, 2012 to Nov 28, 2012
      Signals
      1 dated events
      • C• A••••••• filed its initial SEC registration (Form ADV)
        Oct 26, 2012 · 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.
      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