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.

Former SEC-registered adviser

Convex Capital Management LLC

Former SEC-registered adviserWarrenville, IllinoisCRD 166623SEC 801-80139IAPD
Latest filing Mar 5, 2019
First filing on the tape Jul 24, 2014 · 16 filings
RAUM
$2.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$1.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$6.6M as of Feb 28, 2018
Mar 20, 2015$24.1M then
HNW client RAUM: $0
State-registered IARs (5.B.3)2 as of Feb 28, 2018
Mar 20, 20151 then
Employees (5.A)3 as of Feb 28, 2018
Mar 20, 20154 then
Private funds: no history
RAUM -37% over the last fiscal year-56% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 2019; every figure names its basis
RAUM per advisor
$994,948derivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$99,495derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+110%derivedbetween 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • Individuals$1.8M92%
  • Corporations and businesses$155,2937.8%
Individual clients
12reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
20reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • Saumen Chattopadhyay · Managing Member, Chief Compliance Officercontrol
      since 01/2013 · owns 75% or more
    • Sam Sonu Varghese · Director Of Researchcontrol
      since 12/2014 · owns 5% to 10%
    • Brian Mcconnell · Ownercontrol
      since 05/2013 · owns 75% or more of Mcconnell Partners Group LLC.
    Entity owners
    • Mcconnell Partners Group LLC · Owner
      direct · owns 10% to 25%
    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
    • Advisory employees · 3 to 2
      Feb 28, 2018 to Jan 16, 2019
    • Advisory activities · 4 to 2
      Feb 28, 2018 to Jan 16, 2019
    • Employees · 3 to 2
      Feb 28, 2018 to Jan 16, 2019
    • Discretionary RAUM · $6.6M to $2.0M
      Feb 28, 2018 to Jan 16, 2019
    • RAUM · $6.6M to $2.0M
      Feb 28, 2018 to Jan 16, 2019
    • Advisory activities · 5 to 4
      Dec 15, 2017 to Feb 28, 2018
    • Individual clients · 16 to 12
      Dec 15, 2017 to Feb 28, 2018
    • Discretionary RAUM · $3.2M to $6.6M
      Dec 15, 2017 to Feb 28, 2018
    • Individual RAUM · $0 to $1.8M
      Dec 15, 2017 to Feb 28, 2018
    • RAUM · $3.2M to $6.6M
      Dec 15, 2017 to Feb 28, 2018
    • Advisory employees · 4 to 3
      Mar 8, 2017 to Dec 15, 2017
    • Charity clients · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • HNW clients · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • Individual clients · unset to 16.0
      Mar 8, 2017 to Dec 15, 2017
    • Pension plan clients · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • Pooled vehicle clients · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • Employees · 4 to 3
      Mar 8, 2017 to Dec 15, 2017
    • Other offices · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • HNW RAUM · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • Individual RAUM · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • Pension RAUM · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • Pooled vehicle RAUM · unset to 0.0
      Mar 8, 2017 to Dec 15, 2017
    • Accounts · 17 to 20
      May 17, 2016 to Mar 8, 2017
    • Advisory employees · 3 to 4
      May 17, 2016 to Mar 8, 2017
    • Employees · 3 to 4
      May 17, 2016 to Mar 8, 2017
    • Discretionary RAUM · $5.1M to $3.2M
      May 17, 2016 to Mar 8, 2017
    • RAUM · $5.1M to $3.2M
      May 17, 2016 to Mar 8, 2017
    • Accounts · 86 to 17
      Sep 23, 2015 to Mar 29, 2016
    • Advisory employees · 4 to 3
      Sep 23, 2015 to Mar 29, 2016
    • Employees · 6 to 3
      Sep 23, 2015 to Mar 29, 2016
    • State-registered IARs · 1 to 2
      Sep 23, 2015 to Mar 29, 2016
    • Discretionary RAUM · $24.1M to $5.1M
      Sep 23, 2015 to Mar 29, 2016
    • RAUM · $24.1M to $5.1M
      Sep 23, 2015 to Mar 29, 2016
    • Advisory employees · 3 to 4
      Apr 7, 2015 to Sep 23, 2015
    • Employees · 4 to 6
      Apr 7, 2015 to Sep 23, 2015
    • Accounts · 5 to 86
      Jan 14, 2015 to Mar 20, 2015
    • Employees · 5 to 4
      Jan 14, 2015 to Mar 20, 2015
    • Discretionary RAUM · $25.5M to $24.1M
      Jan 14, 2015 to Mar 20, 2015
    • RAUM · $25.5M to $24.1M
      Jan 14, 2015 to Mar 20, 2015
    • Advisory activities · 6 to 5
      Jul 24, 2014 to Dec 18, 2014
    Signals
    2 dated events
    • Andrew Christopher Campbell (Owner) no longer on Schedule A of Convex Capital Management Llc (listed 2018-02-28, absent 2019-01-16)
      Jan 16, 2019 · Control person left · inference
    • Convex Capital Management Llc filed its initial SEC registration (Form ADV)
      Jul 24, 2014 · 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