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•••••• F••• A•••••••• L••

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 165937SEC 801-77371IAPD
Latest filing Mar 31, 2021
First filing on the tape Nov 8, 2012 · 17 filings
RAUM
$0
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2021
Mar 18, 2013$11.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Mar 18, 20132 then
Employees (5.A)1 as of Mar 31, 2021
Mar 18, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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)
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
0reported
Financial planning clients
n/areported
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
      • C••••••• A•••• D••• · Managing Membercontrol
        since 11/2012 · owns less than 5%
      • C••••••• K••••••• D••• · Principalcontrol
        since 11/2012 · owns less than 5%
      • C••••••• A•••• D••• · Membercontrol
        since 02/2007 · owns F of C•••• C•••••• P•••••••, LLC
      • C••••••• A•••• D••• · Single Membercontrol
        since 02/2007 · owns 75% or more of L••• C•••• W•••, LLC
      • C••••••• A•••••• A•••••• · Membercontrol
        since 02/2007 · owns 50% to 75% of Kinara Capital, LLC
      • C••••••• A•••••• A•••••• · Membercontrol
        since 02/2007 · owns F of C•••• C•••••• P•••••••, LLC
      • C••••••• K••••••• D••• · Trusteecontrol
        since 09/2016 · owns F of K•••••• C•••••• I••••••••• G••• T•••• N•• 2•
      • C••••••• K••••••• D••• · Trusteecontrol
        since 09/2016 · owns F of K•••••• C•••••• I••••••••• G••• T•••• N•• 1•
      • M•••••• D••••• T••••• · Chief Compliance Officer
        since 03/2017 · owns less than 5%
      Entity owners
      • C•••• C•••••• P••••••• · Owner
        direct · owns 10% to 25%
      • K•••••• C•••••• I••••••••• G••• T•••• N•• 1• · Owner
        direct · owns 10% to 25%
      • K•••••• C•••••• I••••••••• G••• T•••• N•• 2• · Owner
        direct · owns 5% to 10%
      • L••• C•••••• W•••• L•• · Owner
        direct · owns 50% to 75%
      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 · unset to 0.0
        Feb 11, 2019 to Mar 27, 2019
      • Advisory employees · 2 to 1
        Feb 11, 2019 to Mar 27, 2019
      • Employees · 3 to 1
        Feb 11, 2019 to Mar 27, 2019
      • Other offices · 1 to 0
        Feb 11, 2019 to Mar 27, 2019
      • Discretionary RAUM · unset to 0.0
        Feb 11, 2019 to Mar 27, 2019
      • Non-discretionary RAUM · unset to 0.0
        Feb 11, 2019 to Mar 27, 2019
      • RAUM · unset to 0.0
        Feb 11, 2019 to Mar 27, 2019
      • Accounts · 4.0 to unset
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 2
        Mar 30, 2017 to Mar 29, 2018
      • Advisory activities · 2 to 1
        Mar 30, 2017 to Mar 29, 2018
      • BD registered reps · 2 to 0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 5 to 3
        Mar 30, 2017 to Mar 29, 2018
      • Insurance-licensed employees · 2 to 1
        Mar 30, 2017 to Mar 29, 2018
      • State-registered IARs · 2 to 1
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · 40971533.0 to unset
        Mar 30, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · 40971533.0 to unset
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 5
        Dec 6, 2016 to Mar 30, 2017
      • BD registered reps · 3 to 2
        Dec 6, 2016 to Mar 30, 2017
      • Employees · 7 to 5
        Dec 6, 2016 to Mar 30, 2017
      • Discretionary RAUM · $36.1M to $41.0M
        Dec 6, 2016 to Mar 30, 2017
      • RAUM · $36.1M to $41.0M
        Dec 6, 2016 to Mar 30, 2017
      • BD registered reps · 2 to 3
        Nov 17, 2015 to Mar 29, 2016
      • Employees · 6 to 7
        Nov 17, 2015 to Mar 29, 2016
      • Discretionary RAUM · $39.3M to $36.1M
        Nov 17, 2015 to Mar 29, 2016
      • RAUM · $39.3M to $36.1M
        Nov 17, 2015 to Mar 29, 2016
      • Discretionary RAUM · $25.2M to $39.3M
        Sep 16, 2014 to Mar 20, 2015
      • RAUM · $25.2M to $39.3M
        Sep 16, 2014 to Mar 20, 2015
      • Accounts · 2 to 4
        Mar 18, 2013 to Mar 17, 2014
      • Advisory employees · 5 to 6
        Mar 18, 2013 to Mar 17, 2014
      • Advisory activities · 1 to 2
        Mar 18, 2013 to Mar 17, 2014
      • Employees · 5 to 6
        Mar 18, 2013 to Mar 17, 2014
      • Discretionary RAUM · $11.9M to $25.2M
        Mar 18, 2013 to Mar 17, 2014
      • RAUM · $11.9M to $25.2M
        Mar 18, 2013 to Mar 17, 2014
      • Accounts · 0 to 2
        Dec 14, 2012 to Mar 18, 2013
      • Advisory employees · 2 to 5
        Dec 14, 2012 to Mar 18, 2013
      • BD registered reps · 0 to 2
        Dec 14, 2012 to Mar 18, 2013
      • Employees · 3 to 5
        Dec 14, 2012 to Mar 18, 2013
      • Discretionary RAUM · $0 to $11.9M
        Dec 14, 2012 to Mar 18, 2013
      Signals
      1 dated events
      • C•••••• C•••••• F••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 8, 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