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•••• A•••• M••••••••• I•••

Former SEC-registered adviserSt. Petersburg, FloridaCRD 168797SEC 801-79014IAPD
Latest filing Apr 30, 2021
First filing on the tape Dec 23, 2013 · 15 filings
RAUM
$594M
reported, Item 5.F
Discretionary
100%
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
14
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$594M as of Apr 30, 2021
Dec 22, 2014$252M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Apr 30, 2021
Dec 22, 20140 then
Employees (5.A)14 as of Apr 30, 2021
Dec 22, 20144 then
Private funds: no history
RAUM +102% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 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
$148MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+102%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 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
  • Pooled investment vehicles$166M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • D•••••• L••••• A••• · Managing Membercontrol
        since 08/2013 · owns 75% or more
      • L•••• W••••••• E•••• · Chief Compliance Officer
        since 03/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Sep 22, 2020 to Apr 30, 2021
      • Discretionary RAUM · $398M to $594M
        Sep 22, 2020 to Apr 30, 2021
      • RAUM · $398M to $594M
        Sep 22, 2020 to Apr 30, 2021
      • Employees · 10 to 14
        May 15, 2020 to Sep 22, 2020
      • Discretionary RAUM · $294M to $398M
        May 15, 2020 to Sep 22, 2020
      • RAUM · $294M to $398M
        May 15, 2020 to Sep 22, 2020
      • Discretionary RAUM · $266M to $294M
        Nov 6, 2019 to May 15, 2020
      • RAUM · $266M to $294M
        Nov 6, 2019 to May 15, 2020
      • Corporate clients · 1.0 to unset
        Feb 15, 2019 to Nov 6, 2019
      • Employees · 8 to 10
        Feb 15, 2019 to Nov 6, 2019
      • Discretionary RAUM · $500M to $266M
        Feb 15, 2019 to Nov 6, 2019
      • HNW RAUM · 0.0 to unset
        Feb 15, 2019 to Nov 6, 2019
      • Individual RAUM · 0.0 to unset
        Feb 15, 2019 to Nov 6, 2019
      • Pension RAUM · 0.0 to unset
        Feb 15, 2019 to Nov 6, 2019
      • Pooled vehicle RAUM · $400M to $166M
        Feb 15, 2019 to Nov 6, 2019
      • RAUM · $500M to $266M
        Feb 15, 2019 to Nov 6, 2019
      • Accounts · 4 to 3
        Apr 11, 2018 to Feb 15, 2019
      • Business name · C•••• A•••• M••••••••• L•• to C•••• A•••• M••••••••• I•••
        Apr 11, 2018 to Feb 15, 2019
      • Pooled vehicle clients · 3 to 2
        Apr 11, 2018 to Feb 15, 2019
      • Discretionary RAUM · $575M to $500M
        Apr 11, 2018 to Feb 15, 2019
      • HNW RAUM · unset to 0.0
        Apr 11, 2018 to Feb 15, 2019
      • Individual RAUM · unset to 0.0
        Apr 11, 2018 to Feb 15, 2019
      • Pension RAUM · unset to 0.0
        Apr 11, 2018 to Feb 15, 2019
      • Pooled vehicle RAUM · $431M to $400M
        Apr 11, 2018 to Feb 15, 2019
      • RAUM · $575M to $500M
        Apr 11, 2018 to Feb 15, 2019
      • Legal name · C•••• A•••• M••••••••• L•• to C•••• A•••• M••••••••• I•••
        Mar 20, 2018 to Apr 11, 2018
      • Succession · true to false
        Mar 20, 2018 to Apr 11, 2018
      • Corporate clients · unset to 1.0
        Nov 21, 2017 to Mar 20, 2018
      • Pooled vehicle clients · 4 to 3
        Nov 21, 2017 to Mar 20, 2018
      • Employees · 5 to 8
        Nov 21, 2017 to Mar 20, 2018
      • Organization form · Limited Liability Company to Corporation
        Nov 21, 2017 to Mar 20, 2018
      • Discretionary RAUM · $464M to $575M
        Nov 21, 2017 to Mar 20, 2018
      • Pooled vehicle RAUM · $464M to $431M
        Nov 21, 2017 to Mar 20, 2018
      • RAUM · $464M to $575M
        Nov 21, 2017 to Mar 20, 2018
      • Succession · false to true
        Nov 21, 2017 to Mar 20, 2018
      • Pooled vehicle clients · unset to 4.0
        Feb 24, 2017 to Nov 21, 2017
      • Other offices · unset to 1.0
        Feb 24, 2017 to Nov 21, 2017
      • Discretionary RAUM · $290M to $464M
        Feb 24, 2017 to Nov 21, 2017
      • Pooled vehicle RAUM · unset to 464000000.0
        Feb 24, 2017 to Nov 21, 2017
      • RAUM · $290M to $464M
        Feb 24, 2017 to Nov 21, 2017
      Signals
      5 dated events
      • C•••• A•••• M••••••••• I••• reported RAUM $593.7M, up 49% from $397.5M (2020-09-22 to 2021-04-30)
        Apr 30, 2021 · RAUM change · derived
      • C•••• A•••• M••••••••• I••• reported RAUM $397.5M, up 35% from $293.5M (2020-05-15 to 2020-09-22)
        Sep 22, 2020 · RAUM change · derived
      • C•••• A•••• M••••••••• I••• reported RAUM $265.8M, down 47% from $500.5M (2019-02-15 to 2019-11-06)
        Nov 6, 2019 · RAUM change · derived
      • C•••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 20, 2018 · Succession (Item 4) · fact
      • C•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 23, 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