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•• N•••••• L••

Former SEC-registered adviserN•••••, FloridaCRD 166489SEC 801-113065IAPD
Latest filing May 19, 2022
First filing on the tape Mar 30, 2018 · 10 filings
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$191M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$191M as of Mar 4, 2022
Mar 29, 2019$131M then
HNW client RAUM$189M as of Mar 4, 2022
Mar 29, 2019$129M then
State-registered IARs (5.B.3)7 as of Mar 4, 2022
Mar 29, 20192 then
Employees (5.A)8 as of Mar 4, 2022
Mar 29, 20193 then
Private funds: no history
RAUM +4.0% over the last fiscal year+13% a year over threeIARs 2 to 7
Practice profile
derived from the filing of May 19, 2022; every figure names its basis
RAUM per advisor
$27.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$13.5MderivedHNW RAUM over HNW clients
Average account
$10.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.0%derivedbetween the last two annual amendments
Advisor growth, one year
+250%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$171M, 16 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
  • High-net-worth individuals$189M99%
  • Individuals$1.6M0.8%
Individual clients
4reported
HNW clients
14reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$171M for 16 clientsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• W••••••• N••• · Managing Membercontrol
      since 01/2013 · owns less than 5%
    • F•••••••• B•••••• M•••••• · Managing Membercontrol
      since 01/2013 · owns less than 5%
    • J••••••• L••••• M•••• · Managercontrol
      since 01/2021 · owns less than 5%
    • K••• K•••••••• R••• · Chief Compliance Officercontrol
      since 01/2021 · owns less than 5%
    • W•••••• G•••••• A•••• · Managing Membercontrol
      since 01/2013 · owns 50% to 75%
    • B•••••• W••••••• N••• · Managing Membercontrol
      since 08/2011 · owns 25% to 50% of C•• A•••• M••••••••• G••••
    • F•••••••• B•••••• M•••••• · Managing Membercontrol
      since 08/2011 · owns 25% to 50% of C•• A•••• M••••••••• G••••
    • M•••••• J•••••• H••• · Ownercontrol
      since 01/2013 · owns F of C•• A•••• M••••••••• G••••
    • J••••••• L•• C••••• R••••••• · Owner
      since 01/2021 · owns 75% or more of L•• C•••• J•••••• 2••• I••••••••• T••••
    Entity owners
    • C•• A•••• M••••••••• G•••• · Owner
      direct · owns 50% to 75%
    • L•• C•••• J•••••• 2••• I••••••••• T•••• · Owner
      indirect · owns F of C•• A•••• M••••••••• G••••
    • M••••• T•••• 2• · Owner
      indirect · owns F of C•• A•••• M••••••••• G••••
    Related persons
    Schedule D 7.A
    • 5•• A••••• B••••••••• L••
      real estaten
    • C••••• R•••• C•••••• L••
      real estaten
    • C•••••• W••••• A•••••••• I•••
      real estaten
    • C• I••••••••• L••
      investment advisernRAUM $32.8M
    • C• N•••••• R•••••••• F••• G•• L••
      pooled vehicle sponsorn
    • C• S•••••• O••••••••• F••• G•• L••
      pooled vehicle sponsorn
    • C•• A•••• M••••••••• G••••
      investment adviseryRAUM $4.5B
    • C•• R••• M•••••••••
      real estaten
    • L•••••• W•••• E••••••••• L••
      real estaten
    Advisers that list C•• N•••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 2 to 7
      Apr 7, 2021 to Mar 4, 2022
    • Assets in custody · $162M to $171M
      Apr 7, 2021 to Mar 4, 2022
    • Employees · 3 to 8
      Apr 7, 2021 to Mar 4, 2022
    • Insurance-licensed employees · 3 to 7
      Apr 7, 2021 to Mar 4, 2022
    • State-registered IARs · 2 to 7
      Apr 7, 2021 to Mar 4, 2022
    • Discretionary RAUM · $183M to $191M
      Apr 7, 2021 to Mar 4, 2022
    • HNW RAUM · $181M to $189M
      Apr 7, 2021 to Mar 4, 2022
    • Individual RAUM · $1.9M to $1.6M
      Apr 7, 2021 to Mar 4, 2022
    • RAUM · $183M to $191M
      Apr 7, 2021 to Mar 4, 2022
    • Advisory activities · 1 to 2
      2•••-09-29 to Mar 16, 2021
    • Corporate clients · 1.0 to unset
      2•••-09-29 to Mar 16, 2021
    • HNW clients · 6 to 14
      2•••-09-29 to Mar 16, 2021
    • Individual clients · 11 to 4
      2•••-09-29 to Mar 16, 2021
    • Assets in custody · $109M to $162M
      2•••-09-29 to Mar 16, 2021
    • Discretionary RAUM · $167M to $183M
      2•••-09-29 to Mar 16, 2021
    • HNW RAUM · $139M to $181M
      2•••-09-29 to Mar 16, 2021
    • Individual RAUM · $26.8M to $1.9M
      2•••-09-29 to Mar 16, 2021
    • RAUM · $167M to $183M
      2•••-09-29 to Mar 16, 2021
    • Related broker-dealer · true to false
      2•••-09-29 to Mar 16, 2021
    • Business name · C•••••• W••••• A••••••• to C•• N•••••• L••
      2•••-04-29 to 2•••-06-26
    • Legal name · T•• N•••••• L•• to C•• N•••••• L••
      2•••-04-29 to 2•••-06-26
    • Accounts · 48 to 18
      Mar 29, 2019 to 2•••-03-30
    • Corporate clients · unset to 1.0
      Mar 29, 2019 to 2•••-03-30
    • HNW clients · 41 to 6
      Mar 29, 2019 to 2•••-03-30
    • Individual clients · 7 to 11
      Mar 29, 2019 to 2•••-03-30
    • Assets in custody · $102M to $109M
      Mar 29, 2019 to 2•••-03-30
    • Discretionary RAUM · $131M to $167M
      Mar 29, 2019 to 2•••-03-30
    • HNW RAUM · $129M to $139M
      Mar 29, 2019 to 2•••-03-30
    • Individual RAUM · $1.9M to $26.8M
      Mar 29, 2019 to 2•••-03-30
    • RAUM · $131M to $167M
      Mar 29, 2019 to 2•••-03-30
    • Related broker-dealer · false to true
      Mar 29, 2019 to 2•••-03-30
    • Accounts · 49 to 48
      Mar 30, 2018 to Mar 29, 2019
    • HNW clients · 20 to 41
      Mar 30, 2018 to Mar 29, 2019
    • Individual clients · 10 to 7
      Mar 30, 2018 to Mar 29, 2019
    • Assets in custody · $110M to $102M
      Mar 30, 2018 to Mar 29, 2019
    • Discretionary RAUM · $119M to $131M
      Mar 30, 2018 to Mar 29, 2019
    • HNW RAUM · $113M to $129M
      Mar 30, 2018 to Mar 29, 2019
    • Individual RAUM · $6.2M to $1.9M
      Mar 30, 2018 to Mar 29, 2019
    • RAUM · $119M to $131M
      Mar 30, 2018 to Mar 29, 2019
    Signals
    12 dated events
    • K••••••• R••• K•• left C•• N•••••• L•• for C•• A•••• M••••••••• G•••• (registered 2021-02-25)
      Dec 31, 2022 · Advisor changed firm · fact
    • D••••• B•••• L••••• left C•• N•••••• L•• for C•• A•••• M••••••••• G•••• (registered 2026-01-01)
      Dec 31, 2022 · Advisor changed firm · fact
    • Todd Franklin Sampson no longer registered at C•• N•••••• L••; no later IA registration on IAPD
      Dec 31, 2022 · Advisor departure · fact
    • W•••••• N••• B••••• left C•• N•••••• L•• for F•• I••••••••• S••••••••• L•• (registered 2014-03-03)
      Dec 31, 2022 · Advisor changed firm · fact
    • John Petsel Folz no longer registered at C•• N•••••• L••; no later IA registration on IAPD
      Dec 31, 2022 · Advisor departure · fact
    • B••••• M•••••• F••••••• left C•• N•••••• L•• for F•• I••••••••• S••••••••• L•• (registered 2014-03-03)
      Dec 31, 2022 · Advisor changed firm · fact
    • 2 advisors left C•• N•••••• L•• (N•••••, FL) for C•• A•••• M••••••••• G•••• on the same day
      Dec 31, 2022 · Team lift-out · derived
    • 2 advisors left C•• N•••••• L•• (N•••••, FL) for F•• I••••••••• S••••••••• L•• on the same day
      Dec 31, 2022 · Team lift-out · derived
    • R••• K••••••• Key (Chief Compliance Officer) appeared on Schedule A of C•• N•••••• L••
      Mar 16, 2021 · Control person joined · fact
    • Kyle D••••• Cerminara (Owner) no longer on Schedule A of C•• N•••••• L•• (listed 2•••-09-29, absent 2021-03-16)
      Mar 16, 2021 · Control person left · inference
    • Lance Jeffrey Sutton (Chief Compliance Officer) no longer on Schedule A of C•• N•••••• L•• (listed 2•••-09-29, absent 2021-03-16)
      Mar 16, 2021 · Control person left · inference
    • C•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)
      Mar 30, 2018 · 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