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••••••••• C•••••• L•

Former SEC-registered adviserNew York, New YorkCRD 164140SEC 801-76669IAPD
Latest filing Oct 21, 2015
First filing on the tape May 3, 2012 · 10 filings
RAUM
$132M
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$132M as of Mar 31, 2015
Apr 1, 2013$158M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)6 as of Mar 31, 2015
Apr 1, 20138 then
Private funds1 as of Mar 28, 2014
Apr 1, 20131 then
RAUM -72% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 21, 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
$43.9MderivedRAUM 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
-72%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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
3reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• E•••• D••••• O••••••••• M••••• F••• L•Hedge Fund$9.5M12May 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• D•••••• G• •• O•••• · Chairman & Co-Chief Investment Officer, Limited Partnercontrol
        since 02/2012 · owns 50% to 75%
      • T•••••• D••••••• C•••• · Chief Executive Officer & Co-Chief Investment Officercontrol
        since 02/2012 · owns 25% to 50%
      • D••••••• D•••••• G• •• O•••• · Co-Managing Membercontrol
        since 02/2012 · owns 50% to 75% of C••••••••• C•••••• G•• L••
      • T•••••• D••••••• C•••• · Co-Managing Membercontrol
        since 02/2012 · owns 25% to 50% of C••••••••• C•••••• G•• L••
      • D••••• G••••••• S•••••• · Partner And Chief Compliance Officer
        since 02/2012 · owns 5% to 10%
      • F••••••• B•••••••• D•••• · Portfolio Manager
        since 02/2012 · owns 5% to 10%
      Entity owners
      • C••••••••• C•••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 3
        Jan 14, 2015 to Mar 31, 2015
      • Advisory employees · 8 to 5
        Jan 14, 2015 to Mar 31, 2015
      • Assets in custody · 0.0 to unset
        Jan 14, 2015 to Mar 31, 2015
      • Custody of client assets · true to false
        Jan 14, 2015 to Mar 31, 2015
      • Employees · 12 to 6
        Jan 14, 2015 to Mar 31, 2015
      • Private funds · 1 to unset
        Jan 14, 2015 to Mar 31, 2015
      • Discretionary RAUM · $476M to $132M
        Jan 14, 2015 to Mar 31, 2015
      • RAUM · $476M to $132M
        Jan 14, 2015 to Mar 31, 2015
      • Related bank · true to false
        Jan 14, 2015 to Mar 31, 2015
      • Accounts · 6 to 8
        Apr 8, 2013 to Mar 28, 2014
      • Advisory employees · 7 to 8
        Apr 8, 2013 to Mar 28, 2014
      • Advisory activities · 2 to 1
        Apr 8, 2013 to Mar 28, 2014
      • Employees · 8 to 12
        Apr 8, 2013 to Mar 28, 2014
      • Discretionary RAUM · $57.9M to $476M
        Apr 8, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $100M to $0
        Apr 8, 2013 to Mar 28, 2014
      • RAUM · $158M to $476M
        Apr 8, 2013 to Mar 28, 2014
      • Business name · C••••••••• C•••••• M••••••••• L• to C••••••••• C•••••• L•
        Apr 1, 2013 to Apr 8, 2013
      • Legal name · C••••••••• C•••••• M••••••••• L• to C••••••••• C•••••• L•
        Apr 1, 2013 to Apr 8, 2013
      • Accounts · 5 to 6
        Jan 14, 2013 to Apr 1, 2013
      • Advisory activities · 1 to 2
        Jan 14, 2013 to Apr 1, 2013
      • Assets in custody · $4.0M to $0
        Jan 14, 2013 to Apr 1, 2013
      • Employees · 10 to 8
        Jan 14, 2013 to Apr 1, 2013
      • Discretionary RAUM · $54.0M to $57.9M
        Jan 14, 2013 to Apr 1, 2013
      • Non-discretionary RAUM · $0 to $100M
        Jan 14, 2013 to Apr 1, 2013
      • RAUM · $54.0M to $158M
        Jan 14, 2013 to Apr 1, 2013
      • Advisory employees · unset to 7.0
        Sep 24, 2012 to Jan 14, 2013
      • BD registered reps · unset to 0.0
        Sep 24, 2012 to Jan 14, 2013
      • Employees · unset to 10.0
        Sep 24, 2012 to Jan 14, 2013
      • State-registered IARs · unset to 0.0
        Sep 24, 2012 to Jan 14, 2013
      • Accounts · 4 to 5
        May 3, 2012 to Sep 24, 2012
      • Business name · C••••••••• C•••••• M••••••••• L• to C••••••••• C•••••• M••••••••• L•
        May 3, 2012 to Sep 24, 2012
      • Assets in custody · $0 to $4.0M
        May 3, 2012 to Sep 24, 2012
      • Legal name · C••••••••• C•••••• M••••••••• L• to C••••••••• C•••••• M••••••••• L•
        May 3, 2012 to Sep 24, 2012
      • Discretionary RAUM · $5 to $54.0M
        May 3, 2012 to Sep 24, 2012
      • RAUM · $5 to $54.0M
        May 3, 2012 to Sep 24, 2012
      Signals
      No event on the tape.
      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