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•• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 168701SEC 801-78522IAPD
Latest filing Mar 27, 2014
First filing on the tape Aug 27, 2013 · 4 filings
RAUM
$153M
reported, Item 5.F
Discretionary
2.0%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$153M as of Mar 27, 2014
Aug 27, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2014
Aug 27, 20130 then
Employees (5.A)2 as of Mar 27, 2014
Aug 27, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2014; every figure names its basis
RAUM per advisor
$76.5MderivedRAUM 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
$15.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
2.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••••• M•••••• · Chief Executive Officer And Chief Compliance Officercontrol
        since 07/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 10
        Oct 1, 2013 to Mar 27, 2014
      • Advisory employees · 1 to 2
        Oct 1, 2013 to Mar 27, 2014
      • Advisory activities · 3 to 2
        Oct 1, 2013 to Mar 27, 2014
      • Financial planning clients · 1-10 to 0
        Oct 1, 2013 to Mar 27, 2014
      • HQ city · unset to NEW YORK
        Oct 1, 2013 to Mar 27, 2014
      • HQ state · unset to NY
        Oct 1, 2013 to Mar 27, 2014
      • State-registered IARs · 1 to 2
        Oct 1, 2013 to Mar 27, 2014
      • Discretionary RAUM · $0 to $3.0M
        Oct 1, 2013 to Mar 27, 2014
      • RAUM · $150M to $153M
        Oct 1, 2013 to Mar 27, 2014
      • Accounts · 0 to 1
        Aug 27, 2013 to Oct 1, 2013
      • Advisory activities · 2 to 3
        Aug 27, 2013 to Oct 1, 2013
      • Employees · 1 to 2
        Aug 27, 2013 to Oct 1, 2013
      • Financial planning clients · unset to 1-10
        Aug 27, 2013 to Oct 1, 2013
      • State-registered IARs · 0 to 1
        Aug 27, 2013 to Oct 1, 2013
      • Legal name · W••••••••• M•••••• to C•• P•••••••• L••
        Aug 27, 2013 to Oct 1, 2013
      • Non-discretionary RAUM · $0 to $150M
        Aug 27, 2013 to Oct 1, 2013
      • RAUM · $0 to $150M
        Aug 27, 2013 to Oct 1, 2013
      Signals
      1 dated events
      • C•• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 27, 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