DFX Intelligence

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C••••• C•••••• M••••••••• L••

No RAUM reportedSEC-registered· Los Angeles, Californiawebsite

No RAUM reported, based in Los Angeles, California.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-07-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 0

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-07-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 167332 · SEC 801-110141 · 13 filingsShow

CRD 167332SEC 801-110141First filing on the tape Mar 6, 2017, latest Jul 16, 2026SEC status approved since Mar 28, 2017IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

27 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 6, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Jul 16, 2026

Mar 26, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 16, 2026

Mar 28, 20180 then

Employees (5.A)60 as of Jul 16, 2026

Mar 28, 201883 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jul 16, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 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

marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••• W••••••• H••••••• · Founder And Chief Investment Officercontrol
since 08/1997 · owns less than 5%
P•••••• M••••••• R•••••• · Chief Executive Officer And Presidentcontrol
since 07/2016 · owns less than 5%
R••••• R•••••• S•••••• · Chief Operating Officercontrol
since 07/2016 · owns less than 5%
C•••••• W••••••• H••••••• · Managing Membercontrol
since 01/2006 · owns 50% to 75% of C••••• H••••••• L••
W•••• C••••••••• R•• · Chief Compliance Officer
since 10/2015 · owns less than 5%

Entity owners

C••••• I••••••••• G••••• L•• · Manager
direct · owns 75% or more
C••••• H••••••• L•• · Manager
indirect · owns 75% or more of C••••• I••••••••• G••••• L••

Related persons

Schedule D 7.A

C••••• R• L•••
real estaten

Offices

Schedule D 1.F, the 25 largest

Milwaukee, WI28 employees
Southport, CT6 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count dropChange between filings · filing Mar 31, 2026
employees (Item 5.A) moved from 94.0 to 60.0 (-36.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was 0.0% (103 comparable advisers, 8.0th percentile of changes)
peers: other advisers, under $100M (103) · 7.8% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Advisory employees · 36 to 27
Mar 26, 2025 to Mar 31, 2026
Employees · 94 to 60
Mar 26, 2025 to Mar 31, 2026
Accounts · unset to 0.0
Mar 28, 2024 to Mar 26, 2025
Employees · 99 to 94
Mar 28, 2024 to Mar 26, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 26, 2025

Full history · 38 changes

Discretionary RAUM · unset to 0.0
Mar 28, 2024 to Mar 26, 2025
Non-discretionary RAUM · unset to 0.0
Mar 28, 2024 to Mar 26, 2025
RAUM · unset to 0.0
Mar 28, 2024 to Mar 26, 2025
Advisory employees · 37 to 36
Mar 27, 2023 to Mar 28, 2024
Employees · 105 to 99
Mar 27, 2023 to Mar 28, 2024
Financial planning clients · 0 to unset
Mar 27, 2023 to Mar 28, 2024
Advisory employees · 34 to 37
Mar 31, 2022 to Mar 27, 2023
Employees · 91 to 105
Mar 31, 2022 to Mar 27, 2023
Advisory employees · 30 to 34
Mar 30, 2021 to Mar 31, 2022
Employees · 88 to 91
Mar 30, 2021 to Mar 31, 2022
Advisory employees · 27 to 30
Mar 30, 2020 to Mar 30, 2021
Employees · 76 to 88
Mar 30, 2020 to Mar 30, 2021
Related bank · true to false
Mar 30, 2020 to Mar 30, 2021
Advisory employees · 34 to 27
Mar 28, 2019 to Mar 30, 2020
Employees · 82 to 76
Mar 28, 2019 to Mar 30, 2020
Other offices · 3 to 2
Mar 28, 2019 to Mar 30, 2020
Advisory employees · 33 to 34
Mar 28, 2018 to Mar 28, 2019
Employees · 83 to 82
Mar 28, 2018 to Mar 28, 2019
Advisory employees · 39 to 33
Sep 12, 2017 to Mar 28, 2018
Charity clients · unset to 0.0
Sep 12, 2017 to Mar 28, 2018
Corporate clients · unset to 0.0
Sep 12, 2017 to Mar 28, 2018
HNW clients · unset to 0.0
Sep 12, 2017 to Mar 28, 2018
Individual clients · unset to 0.0
Sep 12, 2017 to Mar 28, 2018
Pension plan clients · unset to 0.0
Sep 12, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 0.0
Sep 12, 2017 to Mar 28, 2018
Employees · 90 to 83
Sep 12, 2017 to Mar 28, 2018
Other offices · unset to 3.0
Sep 12, 2017 to Mar 28, 2018
Accounts · 2.0 to unset
Mar 13, 2017 to Sep 12, 2017
Advisory employees · 44 to 39
Mar 13, 2017 to Sep 12, 2017
Employees · 95 to 90
Mar 13, 2017 to Sep 12, 2017
Discretionary RAUM · 30000000.0 to unset
Mar 13, 2017 to Sep 12, 2017
Non-discretionary RAUM · 0.0 to unset
Mar 13, 2017 to Sep 12, 2017
RAUM · 30000000.0 to unset
Mar 13, 2017 to Sep 12, 2017

Signals

2 dated events

••• Locked
Jul 16, 2026 · ria principal change · derived
••• Locked
Mar 6, 2017 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Jul 16, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

C••••• C•••••• M••••••••• L•• is the same institution as 1 record in Allocators.

Allocators1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.