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••• F•••••••• I••••••••• C•••••• L••••••
Latest filing Oct 2, 2018
First filing on the tape Aug 10, 2012 · 26 filings
RAUM
$4.9B
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
63
35 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
12
$5.5B gross assets
History
26 filings and snapshots on the tape
RAUM$4.9B as of Mar 29, 2018
Mar 27, 2013$891M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 27, 20130 then
Employees (5.A)112 as of Mar 29, 2018
Mar 27, 201331 then
Private funds12 as of Mar 29, 2018
Mar 27, 20133 then
RAUM -8.0% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 2, 2018; 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
- $168MderivedRAUM 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
- -8.0%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, otherreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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
- Pooled investment vehicles$4.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- 0reported
- 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
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• D•••• M••••• F••• | Hedge Fund | $2.1B | 3 | Mar 4, 2016 |
| C•••••• M••••• F••• | Hedge Fund | $1.1B | 3 | Mar 26, 2014 |
| T•• D•••• F••••• F••• | Hedge Fund | $877M | 47 | Mar 4, 2016 |
| C•••••• F••• | Hedge Fund | $702M | 277 | Mar 30, 2012 |
| P•• M•••••• F•••• S••• • S••••••••• P•••••••• 2•• | Hedge Fund | $428M | 27 | Mar 4, 2016 |
| C•••••• F••••• F••• L• | Hedge Fund | $179M | 98 | Mar 26, 2014 |
| A•••• ••• L• | Hedge Fund | $130M | 1 | Sep 28, 2017 |
| T•• D•••• F••••• F••• L••• | Hedge Fund | $130M | 32 | Mar 4, 2016 |
| A•••• M••••• A•••••••• M••••• F••• L•• | Hedge Fund | $16.3M | 2 | Sep 28, 2017 |
| C•••••• L•••• V••••••••• F••• | Hedge Fund | $14.8M | 1 | Mar 29, 2018 |
| A•••• M••••• A•••••••• F••• L•• | Hedge Fund | $4.4M | 2 | Sep 28, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H•••• R•••••• C•••••• · Chief Executive Officer And Chairmancontrolsince 12/2005 · owns less than 5%
- M••••••••• D•••••• J••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- O••••••• E•••••• J••• · Chief Financial Officer And Chief Operating Officercontrolsince 02/2018 · owns less than 5%
- B•••••• D••••• R••• · Shareholdercontrolsince 01/2012 · owns 75% or more of B••••••••• L••••••
- S••••• M••••••• L••• · Shareholdercontrolsince 01/2012 · owns 75% or more of M•• C•••••• ••• I••
- A•••••••• L••••• S••••• · Shareholdersince 07/2012 · owns 10% to 25%
Entity owners
- M•• C•••••• ••• I•• · Shareholderdirect · owns 25% to 50%
- W•••••••• L•••••• · Shareholderdirect · owns 10% to 25%
- A•• G••••••• T•••• · Shareholdersindirect · owns 75% or more of A••••• T•••• C••••••
- A••••• T•••• C•••••• · Shareholdersindirect · owns 50% to 75% of W•••••••• L••••••
- H• T•••• C•••••• · Trusteeindirect · owns F of A•• G••••••• T••••
- H• T•••• C•••••• · Trusteeindirect · owns F of R•• G••••••• T••••
- R•• G••••••• T•••• · Shareholdersindirect · owns 75% or more of R••• G••••• L••••••
- R••• G••••• L•••••• · Shareholdersindirect · owns 50% to 75% of W•••••••• L••••••
- B••••••••• L•••••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C••• ••• I••investment adviserbankyRAUM $824M
- C••• C••••• I• L••••••pooled vehicle sponsory
- C••• C••••• I•• L••••••pooled vehicle sponsory
- C••• C••••• I• L••••••pooled vehicle sponsory
- C••• C••••• L••••••pooled vehicle sponsory
- C••• C••••• V• L••••••pooled vehicle sponsory
- C••• F•••••••• I••••••••• C•••••• P•• L••investment adviserbanky
- C••• F•••••••• I••••••••• C•••••• •••• K•••• L••••••investment adviserbanky
Advisers that list C••• F•••••••• I••••••••• C•••••• L•••••• as a related person
- 171519 y
Offices
Schedule D 1.F, the 25 largest
- Auckland, New Zealand1 employees
- Stockholm, Sweden1 employees
What changed
consecutive filings, newest first
- Employees · 112 to 63Jun 7, 2018 to Jun 8, 2018
- Advisory employees · 38 to 35Sep 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 23.0Sep 28, 2017 to Mar 29, 2018
- Employees · 125 to 112Sep 28, 2017 to Mar 29, 2018
- Financial planning clients · unset to 0Sep 28, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Sep 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $5.3B to $4.9BSep 28, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 4312666891.0Sep 28, 2017 to Mar 29, 2018
- RAUM · $5.3B to $4.9BSep 28, 2017 to Mar 29, 2018
- Private funds · 9 to 12Mar 30, 2017 to Sep 28, 2017
- Accounts · 38 to 29Aug 25, 2016 to Mar 30, 2017
- Advisory employees · 27 to 38Aug 25, 2016 to Mar 30, 2017
- Advisory activities · 3 to 2Aug 25, 2016 to Mar 30, 2017
- BD registered reps · 0 to 2Aug 25, 2016 to Mar 30, 2017
- Employees · 98 to 125Aug 25, 2016 to Mar 30, 2017
- Discretionary RAUM · $3.6B to $5.3BAug 25, 2016 to Mar 30, 2017
- RAUM · $3.6B to $5.3BAug 25, 2016 to Mar 30, 2017
- Advisory activities · 4 to 3Mar 30, 2016 to Apr 15, 2016
- Accounts · 30 to 38Mar 4, 2016 to Mar 30, 2016
- Advisory employees · 22 to 27Mar 4, 2016 to Mar 30, 2016
- Advisory activities · 2 to 4Mar 4, 2016 to Mar 30, 2016
- Employees · 70 to 98Mar 4, 2016 to Mar 30, 2016
- Discretionary RAUM · $2.5B to $3.6BMar 4, 2016 to Mar 30, 2016
- RAUM · $2.5B to $3.6BMar 4, 2016 to Mar 30, 2016
- Private funds · 5 to 9May 19, 2015 to Mar 4, 2016
- Accounts · 32 to 30May 7, 2014 to Mar 28, 2015
- Advisory employees · 14 to 22May 7, 2014 to Mar 28, 2015
- Employees · 52 to 70May 7, 2014 to Mar 28, 2015
- Discretionary RAUM · $1.5B to $2.5BMay 7, 2014 to Mar 28, 2015
- RAUM · $1.5B to $2.5BMay 7, 2014 to Mar 28, 2015
- Related bank · false to trueMay 7, 2014 to Mar 28, 2015
- Accounts · 22 to 32Mar 27, 2013 to Mar 26, 2014
- Advisory employees · 16 to 14Mar 27, 2013 to Mar 26, 2014
- Advisory activities · 1 to 2Mar 27, 2013 to Mar 26, 2014
- Employees · 31 to 52Mar 27, 2013 to Mar 26, 2014
- Private funds · 3 to 5Mar 27, 2013 to Mar 26, 2014
- Discretionary RAUM · $891M to $1.5BMar 27, 2013 to Mar 26, 2014
- RAUM · $891M to $1.5BMar 27, 2013 to Mar 26, 2014
- Accounts · 21 to 22Nov 2, 2012 to Mar 27, 2013
- Advisory employees · 20 to 16Nov 2, 2012 to Mar 27, 2013
Signals
1 dated events
- C••• F•••••••• I••••••••• C•••••• L•••••• filed its initial SEC registration (Form ADV)Aug 10, 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