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•••••••• I••••••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 166195SEC 801-77498IAPD
Latest filing Dec 21, 2015
First filing on the tape Dec 18, 2012 · 7 filings
RAUM
$1.0B
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.0B gross assets
History
7 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2015
Mar 28, 2014$319M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 28, 20140 then
Employees (5.A)9 as of Mar 31, 2015
Mar 28, 20147 then
Private funds1 as of Mar 31, 2015
Mar 28, 20141 then
RAUM +226% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 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
$261MderivedRAUM 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
+226%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.0B, 3 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.0B for 3 clientsreported
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
      A••••••• A•••• M••••• F•••• L•••Hedge Fund$1.0B7May 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• D••••• G•••••• · Chief Operating Officer And Chief Compliance Officer Of C••••••••control
        since 09/2012 · owns 5% to 10%
      • S••••••• K••••• P••• · Managing Partner, Limited Partner And Chief Investment Officer Of C••••••••control
        since 09/2012 · owns 75% or more
      • S••••••• K••••• P••• · Managing Member Of C••••control
        since 09/2012 · owns 75% or more of C••••
      • C••••••• S••••••• V• · Head Of Research Of C••••••••
        since 09/2012 · owns 5% to 10%
      Entity owners
      • C•••••••• I••••••••• M••••••••• G•••••• P••••••• L•• •••••••• · G•••••• Partner Of C•••••••• I••••••••• M••••••••• L••• ("C••••••••")
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••••• A•••• F••• M•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 5
        Mar 28, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        Mar 28, 2014 to Mar 31, 2015
      • Assets in custody · $302M to $1.0B
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 7 to 9
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $319M to $1.0B
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $319M to $1.0B
        Mar 28, 2014 to Mar 31, 2015
      • Assets in custody · $222M to $302M
        May 21, 2013 to Mar 28, 2014
      • Discretionary RAUM · $235M to $319M
        May 21, 2013 to Mar 28, 2014
      • RAUM · $235M to $319M
        May 21, 2013 to Mar 28, 2014
      • Accounts · unset to 3.0
        Feb 26, 2013 to May 21, 2013
      • Assets in custody · unset to 221898760.0
        Feb 26, 2013 to May 21, 2013
      • Custody of client assets · false to true
        Feb 26, 2013 to May 21, 2013
      • Employees · 6 to 7
        Feb 26, 2013 to May 21, 2013
      • Private funds · unset to 1
        Feb 26, 2013 to May 21, 2013
      • Discretionary RAUM · unset to 234690549.0
        Feb 26, 2013 to May 21, 2013
      • Non-discretionary RAUM · unset to 0.0
        Feb 26, 2013 to May 21, 2013
      • RAUM · unset to 234690549.0
        Feb 26, 2013 to May 21, 2013
      Signals
      1 dated events
      • C•••••••• I••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Dec 18, 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