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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SEC-registered adviser
C•••••• P•••• C•••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Sep 4, 2014 · 24 filings
SEC status approved since Sep 24, 2014
RAUM
$184M
reported, Item 5.F
Discretionary
19%
of RAUM
Private clients
7.6%
$14.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$184M
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
24 filings and snapshots on the tape
RAUM$184M as of Mar 24, 2026
Mar 4, 2015$135M then
HNW client RAUM$14.1M as of Mar 24, 2026
Mar 16, 2018$5.8M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 4, 20151 then
Employees (5.A)1 as of Mar 24, 2026
Mar 4, 20152 then
Private funds: no history
RAUM +6.5% over the last fiscal year+12% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $23.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 19%derivedof RAUM
- Institutional
- 92%derivedpensions, 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
- +6.5%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$170M92%
- High-net-worth individuals$14.1M7.6%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.08 fund_share=0.0 institutional_share=0.92 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• B•••••• P••••••••Chartered Financial Analyst | Mendocino, Ca | Nov 25, 2025 | 27 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• L••••• · Managing Member, Ccocontrolsince 12/2012 · owns 50% to 75%
- P••••••••• W••••••• B•••••• · Managing Membercontrolsince 12/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
- R•• C•••••• M•••••••••investment advisernRAUM $25.0M
Offices
Schedule D 1.F, the 25 largest
- Mendacino, CA1 employees
What changed
consecutive filings, newest first
- Business name · C•••••• P•••••••• C•••••• M••••••••• L•• to C•••••• P•••• C•••••• M••••••••• L••Feb 5, 2026 to Mar 24, 2026
- Legal name · C•••••• P•••••••• C•••••• M••••••••• L•• to C•••••• P•••• C•••••• M••••••••• L••Feb 5, 2026 to Mar 24, 2026
- Accounts · 6 to 8Aug 20, 2025 to Feb 5, 2026
- HNW clients · 4 to 7Aug 20, 2025 to Feb 5, 2026
- Insurance-licensed employees · 1 to 0Aug 20, 2025 to Feb 5, 2026
- Discretionary RAUM · $26.2M to $34.4MAug 20, 2025 to Feb 5, 2026
- HNW RAUM · $9.1M to $14.1MAug 20, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $147M to $150MAug 20, 2025 to Feb 5, 2026
- RAUM · $173M to $184MAug 20, 2025 to Feb 5, 2026
- Advisory employees · 2 to 1Mar 7, 2025 to Aug 20, 2025
- Employees · 2 to 1Mar 7, 2025 to Aug 20, 2025
- Financial planning clients · 0 to 0Mar 7, 2025 to Aug 20, 2025
- HQ city · LOS ANGELES to Mar 7, 2025 to Aug 20, 2025
- HQ state · CA to Mar 7, 2025 to Aug 20, 2025
- Other offices · 1 to 0Mar 7, 2025 to Aug 20, 2025
- Related adviser · true to falseMar 7, 2025 to Aug 20, 2025
- Discretionary RAUM · $23.1M to $26.2MMar 21, 2024 to Mar 7, 2025
- HNW RAUM · $8.4M to $9.1MMar 21, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $130M to $147MMar 21, 2024 to Mar 7, 2025
- RAUM · $153M to $173MMar 21, 2024 to Mar 7, 2025
- Accounts · 7 to 6Mar 21, 2023 to Mar 21, 2024
- Discretionary RAUM · $6.7M to $23.1MMar 21, 2023 to Mar 21, 2024
- HNW RAUM · $6.7M to $8.4MMar 21, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $125M to $130MMar 21, 2023 to Mar 21, 2024
- RAUM · $132M to $153MMar 21, 2023 to Mar 21, 2024
- Accounts · 6 to 7Oct 19, 2022 to Mar 17, 2023
- Charity clients · 2 to 1Oct 19, 2022 to Mar 17, 2023
- Discretionary RAUM · $22.3M to $6.7MOct 19, 2022 to Mar 17, 2023
- HNW RAUM · $8.3M to $6.7MOct 19, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $111M to $125MOct 19, 2022 to Mar 17, 2023
- RAUM · $134M to $132MOct 19, 2022 to Mar 17, 2023
- Accounts · 7 to 6Feb 16, 2021 to Mar 11, 2022
- HNW clients · 5 to 4Feb 16, 2021 to Mar 11, 2022
- Discretionary RAUM · $12.6M to $22.3MFeb 16, 2021 to Mar 11, 2022
- HNW RAUM · $6.6M to $8.3MFeb 16, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $113M to $111MFeb 16, 2021 to Mar 11, 2022
- RAUM · $125M to $134MFeb 16, 2021 to Mar 11, 2022
- Accounts · 6 to 7Jun 26, 2020 to Feb 16, 2021
- HNW clients · 4 to 5Jun 26, 2020 to Feb 16, 2021
- Discretionary RAUM · $12.3M to $12.6MJun 26, 2020 to Feb 16, 2021
Signals
1 dated events
- C•••••• P•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 4, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 917-885-5382reportedpublic record, Form ADV, Mar 24, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $184Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026