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••••••• S••••••••• I• L••
Latest filing Mar 31, 2021
First filing on the tape Jun 7, 2013 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
723
227 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$73.5M as of Mar 31, 2017
Mar 31, 2014$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20140 then
Employees (5.A)723 as of Mar 31, 2021
Mar 31, 2014395 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
- 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
- unknownderived1 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
- 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)
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A••••••••• K•••••••• · S••••• Managing Director Of Sgi Frontier Capital Pte Ltd.controlsince 10/2018 · owns less than 5%
- B•••••••• A••••••••• D•••• · S••••• Managing Director, General Counselcontrolsince 01/2018 · owns less than 5%
- B••••• F••••• W•••••• · S••••• Managing Director And Co-Chief Executive Officercontrolsince 01/2018 · owns less than 5%
- D••••••••• R••••• · S••••• Managing Directorcontrolsince 05/2013 · owns less than 5%
- F•••••••• S••••••• A••••• · S••••• Managing Director, Co-Founder And Co-Chief Executive Officercontrolsince 05/2013 · owns less than 5%
- G••••••• S••••••• G••••••• D•••• · S••••• Managing Director Of Sgi Frontier Capital Pte Ltd.controlsince 10/2018 · owns less than 5%
- H•••• T••• G•• · Director Of Sgi Frontier Capital Pte Ltd.controlsince 07/2013 · owns less than 5%
- I••••••••• W••••••• B•••• · S••••• Managing Directorcontrolsince 05/2013 · owns less than 5%
- K•••••• A•••••• I•••• · S••••• Managing Director, Chief Compliance Officer, S••••• Legal Officercontrolsince 05/2013 · owns less than 5%
- L••••••• J••••••• L••••••• · S••••• Managing Director And Chief Financial Officercontrolsince 05/2013 · owns less than 5%
- M•••••• E•••• F••• · S••••• Managing Directorcontrolsince 05/2013 · owns less than 5%
- M••••••••• L••• S•••• · S••••• Managing Directorcontrolsince 05/2013 · owns less than 5%
- N•••••••• M•••• A••• · S••••• Managing Director, Chief Operating Officer And S••••• Legal Officercontrolsince 05/2013 · owns less than 5%
- P••••••• S•••• P•••••• · S••••• Managing Director, Chief Administrative Officer And S••••• Legal Officercontrolsince 05/2013 · owns less than 5%
- Q•••••• J••••• D••••••• · S••••• Managing Director, Chairman Of C••••••• G••••• I••••••••• L••controlsince 05/2013 · owns less than 5%
- R••••••• W••••••• L•• · S••••• Managing Directorcontrolsince 05/2013 · owns less than 5%
- S•••• J•••• W•••••• · Chairman And S••••• Managing Directorcontrolsince 05/2013 · owns less than 5%
- W•••• D•••••• E•••• · S••••• Managing Directorcontrolsince 05/2013 · owns less than 5%
- F•••••••• S••••••• A••••• · Sole Shareholder, Director And Presidentcontrolsince 04/1996 · owns 75% or more of C•••• C••••• I•••
- G••••••••• H•••••• J••••• · Trusteecontrolsince 08/2014 · owns F of W•••••• L• R•••••• P••••••••• T•••• 2•
- R••••••• A••• J••••• · Trusteecontrolsince 08/2014 · owns F of W•••••• L• R•••••• P••••••••• T•••• 2•
- R••••••• W••••••• L•• · President And Directorcontrolsince 03/1989 · owns 25% to 50% of R•••••• Investment Corp
- S••••••••• H••••• C•••••• · Trusteecontrolsince 08/2014 · owns F of W•••••• L• R•••••• P••••••••• T•••• 2•
Entity owners
- C••••••• C•••••• M••••••••• L••• · Sole Memberdirect · owns 75% or more
- C•••• C•••• G•• L•• · General Partnerindirect · owns 75% or more of C••••••• C•••••• M••••••••• L•••
- C•••• C••••• I••• · Sole Memberindirect · owns 75% or more of C•••• C•••• G•• L••
- W•••••• L• R•••••• P••••••••• T•••• 2• · Shareholderindirect · owns 50% to 75% of R•••••• I••••••••• C••••
- R•••••• I••••••••• C•••• · L•••••• Partnerindirect · owns 25% to 50% of C••••••• Capital Management LP
Related persons
Schedule D 7.A
- 2•• C••••• F•••••• C•••• A• M••••••• L••investment adviserbankpooled vehicle sponsorn
- A••••• C•••• A• M•••••• L••investment adviserbankpooled vehicle sponsorn
- A••••• G•• L••investment adviserbankpooled vehicle sponsorn
- C•• I• G•• L••investment adviserbankpooled vehicle sponsorn
- C•• M••••••• L•••investment adviserbankn
- C•• S••••• L••• F••• A• G•• L••investment adviserbankpooled vehicle sponsorn
- C••••••• ••••••••• P•• L•••investment advisern
- C••••••• 1• R• A••••••••• I•• L•••investment adviserbankpooled vehicle sponsorn
- C••••••• 1••• A••••••••• L••investment adviserbankpooled vehicle sponsorn
- C••••••• 2• R• A••••••••• L•••investment adviserbankpooled vehicle sponsorn
- C••••••• 2••• C••••• M••••••• L•••••investment adviserpooled vehicle sponsorn
- C••••••• A•• G•• L••investment adviserpooled vehicle sponsorn
- C••••••• A•• L••• O••••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- C••••••• A••• A••••••••• L•••••investment adviserbankpooled vehicle sponsorn
- C••••••• A••• O••••••••• A•• A••••••• L••••••investment advisern
- C••••••• A••• P•••••• A••••••• I• L••••••investment advisern
- C••••••• A••• P•••••• A••••••• L••••••investment advisern
- C••••••• A••• C••••• O••••••••• M••••••• L••investment adviserbankpooled vehicle sponsorn
- C••••••• A••• H••••••• L••investment adviserbankpooled vehicle sponsorn
- C••••••• A••••••••• I•• L•••••investment adviserbankpooled vehicle sponsorn
- C••••••• A••••••••• I•• L•••investment adviserbankpooled vehicle sponsorn
- C••••••• A••••••••• L•••••investment adviserbankpooled vehicle sponsorn
- C••••••• A•• L•••••• O••••••••• M••••• F••• G•• L••investment adviserbankpooled vehicle sponsorn
- C••••••• A•• S• L•••••• O••••••••• M••••• F••• G•• L••investment adviserbankpooled vehicle sponsorn
- C••••••• A•••••••• A••••••• P•• L••investment advisern
- C••••••• B•••••• A••••••• L••••••investment advisern
- C••••••• B••••• C••••••••• D• N••••••• L•••investment advisern
- C••••••• B••••••• F••••••• L••investment advisern
- C••••••• C•• L•••••• O••••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- C••••••• C•• I•• A••••••••• L•••••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 204 to 227Mar 30, 2020 to Mar 31, 2021
- Employees · 760 to 723Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 211 to 204Mar 29, 2019 to Mar 30, 2020
- Employees · 735 to 760Mar 29, 2019 to Mar 30, 2020
- Advisory employees · 170 to 211Mar 30, 2018 to Mar 29, 2019
- Employees · 617 to 735Mar 30, 2018 to Mar 29, 2019
- Accounts · 2.0 to unsetMar 31, 2017 to Mar 30, 2018
- Advisory employees · 156 to 170Mar 31, 2017 to Mar 30, 2018
- Employees · 502 to 617Mar 31, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 30, 2018
- Discretionary RAUM · 73543303.0 to unsetMar 31, 2017 to Mar 30, 2018
- Non-discretionary RAUM · 0.0 to unsetMar 31, 2017 to Mar 30, 2018
- RAUM · 73543303.0 to unsetMar 31, 2017 to Mar 30, 2018
- Accounts · 1 to 2Mar 30, 2016 to Mar 31, 2017
- Advisory employees · 142 to 156Mar 30, 2016 to Mar 31, 2017
- Employees · 473 to 502Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $122M to $73.5MMar 30, 2016 to Mar 31, 2017
- RAUM · $122M to $73.5MMar 30, 2016 to Mar 31, 2017
- Advisory employees · 150 to 142Jul 22, 2015 to Mar 30, 2016
- Employees · 448 to 473Jul 22, 2015 to Mar 30, 2016
- Discretionary RAUM · $154M to $122MJul 22, 2015 to Mar 30, 2016
- RAUM · $154M to $122MJul 22, 2015 to Mar 30, 2016
- Advisory employees · 135 to 150Aug 12, 2014 to Mar 31, 2015
- Employees · 395 to 448Aug 12, 2014 to Mar 31, 2015
- Discretionary RAUM · $103M to $154MAug 12, 2014 to Mar 31, 2015
- RAUM · $103M to $154MAug 12, 2014 to Mar 31, 2015
- Advisory employees · 132 to 135Aug 8, 2013 to Mar 31, 2014
- Employees · 349 to 395Aug 8, 2013 to Mar 31, 2014
- Discretionary RAUM · $104M to $103MAug 8, 2013 to Mar 31, 2014
- RAUM · $104M to $103MAug 8, 2013 to Mar 31, 2014
- Accounts · 0 to 1Jun 7, 2013 to Aug 8, 2013
- Discretionary RAUM · $0 to $104MJun 7, 2013 to Aug 8, 2013
- RAUM · $0 to $104MJun 7, 2013 to Aug 8, 2013
Signals
10 dated events
- Billy Lenard Tessler (Senior Managing Director And Vice Chairman) no longer on Schedule A of C••••••• S••••••••• I• L•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Ethan Matthew Zames (President) no longer on Schedule A of C••••••• S••••••••• I• L•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- D•••• A•••••••• B••••••• (Senior Managing Director, General Counsel) appeared on Schedule A of C••••••• S••••••••• I• L••Mar 30, 2020 · Control person joined · fact
- Ethan Matthew Zames (President) appeared on Schedule A of C••••••• S••••••••• I• L••Mar 30, 2020 · Control person joined · fact
- Khalilzad A•••••••• Benard (Senior Managing Director Of Sgi Frontier Capital Pte Ltd.) appeared on Schedule A of C••••••• S••••••••• I• L••Mar 30, 2020 · Control person joined · fact
- D•••• G•••••• G••••••• S•••••• (Senior Managing Director Of Sgi Frontier Capital Pte Ltd.) appeared on Schedule A of C••••••• S••••••••• I• L••Mar 30, 2020 · Control person joined · fact
- Gim Tan Hong (Director Of Sgi Frontier Capital Pte Ltd.) appeared on Schedule A of C••••••• S••••••••• I• L••Mar 30, 2020 · Control person joined · fact
- Jeffrey Ronald Kravit (Senior Managing Director) no longer on Schedule A of C••••••• S••••••••• I• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- F Steven Mayer (Senior Managing Director) no longer on Schedule A of C••••••• S••••••••• I• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- C••••••• S••••••••• I• L•• filed its initial SEC registration (Form ADV)Jun 7, 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