DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• G••••• I••••••••• L••
Latest filing May 27, 2026
First filing on the tape Jun 6, 2017 · 18 filings
SEC status approved since Jul 10, 2017
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$226M as of May 27, 2026
Mar 16, 2018$330M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 27, 2026
Mar 16, 20181 then
Employees (5.A)9 as of May 27, 2026
Mar 16, 20186 then
Private funds2 as of May 27, 2026
Mar 16, 20182 then
RAUM +13% over the last fiscal year+3.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
- RAUM per advisor
- $113MderivedRAUM 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
- $75.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $144M, 3 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)
- 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
- Pooled investment vehicles$144M64%
- Corporations and businesses$82.0M36%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $144M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.64 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• P•••••• J••••••Chartered Financial Analyst | New York, Ny | Sep 11, 2013 | 26 y | 1 |
| M•••••• A•••••••• W••• | New York, Ny | Aug 12, 2026 | 10 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
- T••••••• P•••••• J•••••• from N••••••••• C•••••• M••••••••• L••Sep 11, 2013 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• G••••• F••••••• M••••••• L• | Other Private Fund | $106M | 23 | Aug 17, 2017 |
| C••••• G••••• E••••••• O••••••••• L• | Other Private Fund | $900,000 | 2 | Jun 6, 2017 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• T•••••••• P•••••• · Managing Member/ Managing Directorcontrolsince 04/2013 · owns 75% or more
- K•••••••• N•••••• R••• · Chief Operating Officer/Chief Compliance Officersince 03/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 54.0% to 36.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 5 to 3Sep 15, 2025 to Mar 27, 2026
- Corporate clients · 3.0 to unsetSep 15, 2025 to Mar 27, 2026
- Assets in custody · $91.4M to $144MSep 15, 2025 to Mar 27, 2026
- HQ city · CAMAS to NEW YORKSep 15, 2025 to Mar 27, 2026
- HQ state · WA to NYSep 15, 2025 to Mar 27, 2026
- Discretionary RAUM · $201M to $226MSep 15, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $91.4M to $144MSep 15, 2025 to Mar 27, 2026
- RAUM · $201M to $226MSep 15, 2025 to Mar 27, 2026
- Accounts · 6 to 5Sep 16, 2024 to Mar 28, 2025
- Assets in custody · $107M to $91.4MSep 16, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $208M to $201MSep 16, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $107M to $91.4MSep 16, 2024 to Mar 28, 2025
- RAUM · $208M to $201MSep 16, 2024 to Mar 28, 2025
- Other offices · 0 to 1May 1, 2024 to Sep 16, 2024
- Corporate clients · unset to 3.0Mar 31, 2023 to Mar 13, 2024
- Assets in custody · $113M to $107MMar 31, 2023 to Mar 13, 2024
- Discretionary RAUM · $203M to $208MMar 31, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $115M to $107MMar 31, 2023 to Mar 13, 2024
- RAUM · $203M to $208MMar 31, 2023 to Mar 13, 2024
- Advisory employees · 5 to 6Mar 18, 2022 to Mar 31, 2023
- Assets in custody · $125M to $113MMar 18, 2022 to Mar 31, 2023
- Employees · 8 to 9Mar 18, 2022 to Mar 31, 2023
- Discretionary RAUM · $213M to $203MMar 18, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $125M to $115MMar 18, 2022 to Mar 31, 2023
- RAUM · $213M to $203MMar 18, 2022 to Mar 31, 2023
- Accounts · 12 to 6Mar 18, 2021 to Mar 18, 2022
- Corporate clients · 9.0 to unsetMar 18, 2021 to Mar 18, 2022
- Assets in custody · $99.0M to $125MMar 18, 2021 to Mar 18, 2022
- Discretionary RAUM · $263M to $213MMar 18, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $100M to $125MMar 18, 2021 to Mar 18, 2022
- RAUM · $263M to $213MMar 18, 2021 to Mar 18, 2022
- Assets in custody · $97.0M to $99.0MMar 13, 2020 to Mar 18, 2021
- Discretionary RAUM · $323M to $263MMar 13, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $99.0M to $100MMar 13, 2020 to Mar 18, 2021
- RAUM · $323M to $263MMar 13, 2020 to Mar 18, 2021
- Accounts · 16 to 12Mar 8, 2019 to Mar 13, 2020
- Advisory employees · 3 to 5Mar 8, 2019 to Mar 13, 2020
- Corporate clients · 14 to 9Mar 8, 2019 to Mar 13, 2020
- Pooled vehicle clients · 2 to 3Mar 8, 2019 to Mar 13, 2020
Signals
2 dated events
- C••••• G••••• I••••••••• L•• reported RAUM $330.0M, up 50% from $220.0M (2017-08-17 to 2018-03-16)Mar 16, 2018 · ria raum c••••• · derived
- C••••• G••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• G••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- C•••••GI.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-878-3678reportedpublic record, Form ADV, May 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026