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•••••• M••••••••• L••
Latest filing Mar 16, 2015
First filing on the tape Jan 30, 2013 · 5 filings
RAUM
$233M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$233M gross assets
History
5 filings and snapshots on the tape
RAUM$233M as of Mar 16, 2015
Mar 27, 2014$227M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 16, 2015
Mar 27, 20141 then
Employees (5.A)9 as of Mar 16, 2015
Mar 27, 201412 then
Private funds1 as of Mar 16, 2015
Mar 27, 20141 then
RAUM +2.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2015; every figure names its basis
- RAUM per advisor
- $233MderivedRAUM 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
- $117MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• G••••• M••••• F•••• L••• | Hedge Fund | $233M | 25 | Apr 18, 2013 |
| C••••• G••••• F•••• L•no longer reported | Hedge Fund | $1.0M | 0 | Jan 30, 2013 |
Owners and control persons
Schedule A and B, latest filing
- R••••••• C••••• L••• · Chief Financial Officercontrolsince 01/2013 · owns less than 5%
- S••••••• M•••• J••••• · Chief Compliance Officer, Member And Portfolio Managercontrolsince 12/2012 · owns 75% or more
Related persons
Schedule D 7.A
- C••••• C•••••• P•••••••• L•bankpooled vehicle sponsorn
- M•• E•••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 3Mar 27, 2014 to Mar 16, 2015
- Employees · 12 to 9Mar 27, 2014 to Mar 16, 2015
- Discretionary RAUM · $227M to $233MMar 27, 2014 to Mar 16, 2015
- RAUM · $227M to $233MMar 27, 2014 to Mar 16, 2015
- Assets in custody · $116M to $0Jun 12, 2013 to Mar 27, 2014
- Discretionary RAUM · $116M to $227MJun 12, 2013 to Mar 27, 2014
- RAUM · $116M to $227MJun 12, 2013 to Mar 27, 2014
- Accounts · 1 to 2Jan 30, 2013 to Apr 18, 2013
- Assets in custody · $1.0M to $116MJan 30, 2013 to Apr 18, 2013
- Employees · 9 to 12Jan 30, 2013 to Apr 18, 2013
- Discretionary RAUM · $1.0M to $116MJan 30, 2013 to Apr 18, 2013
- RAUM · $1.0M to $116MJan 30, 2013 to Apr 18, 2013
Signals
1 dated events
- C••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 30, 2013 · 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