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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SEC-registered adviser
C• I••••••••• P•••••••• L••
Legal name C• I••••••••• P••••••• L••
Latest filing Jul 13, 2026
First filing on the tape Nov 22, 2013 · 30 filings
SEC status approved since Dec 6, 2013
RAUM
$444M
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
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$444M as of Jul 13, 2026
Mar 20, 2014$211M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 13, 2026
Mar 20, 20140 then
Employees (5.A)14 as of Jul 13, 2026
Mar 20, 201419 then
Private funds3 as of Jul 13, 2026
Mar 31, 20231 then
RAUM -15% over the last fiscal year+4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 13, 2026; 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
- $88.8MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%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 pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $444M, 5 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$208M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $444M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• A•• C•••••• L••• | Private Equity Fund | $180M | 3 | Mar 31, 2021 |
| I••••••••• U• I••••••••• P•••••• C••••• F••• | Private Equity Fund | $69.6M | 5 | Apr 1, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••• P••••• S• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- S•••••• S•••••• A•••• · Chief Investment Officercontrolsince 05/2024 · owns less than 5%
- M••••• M••••••• C•••••• · Membercontrolsince 08/2013 · owns 75% or more of M••••• L••
Entity owners
- I•• C••••• M••••••••• F••••••••• L•• · Managing Memberdirect · owns 75% or more
- C• H••••••• L••• · Shareholderindirect · owns 75% or more of I••••••••• H••••••• L•••
- I•••• H••••••• L•• · Shareholderindirect · owns 75% or more of I•••• I••••••••• S•• L••
- I•••• I••••••••• S•• L•• · Shareholderindirect · owns 25% to 50% of S•••• L•••
- I••••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of I••••••••• S•••
- I••••••••• I••••••••• H••••••• I••• · Managing Memberindirect · owns 75% or more of I•• C••••• M••••••••• F••••••••• L••
- I••••••••• S••• · Shareholderindirect · owns 75% or more of I••••••••• I••••••••• H••••••• I•••
- S•••• H••••••• L•• · Shareholderindirect · owns 75% or more of I•••• H••••••• L••
- S•••• L••• · Shareholderindirect · owns 75% or more of C• H••••••• L•••
- M••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- I•• N••••••• H••••••• L••••••broker-dealern
- I•• S••••• L••• F••• C•••••••••pooled vehicle sponsorn
- I••••••••• ••• D••••• L••••••investment advisern
- I••••••••• A••••••• R••••• I••••••••• L••investment advisernRAUM $1.1B
- I••••••••• A••• S••••••• P•••••• L••••••broker-dealern
- I••••••••• A•••• F••• G• L••••••pooled vehicle sponsorn
- I••••••••• A•••• A••••••• S••••••• L••••••broker-dealern
- I••••••••• C•••••••• S••••••• L••••••investment advisern
- I••••••••• C•••••• I••••••••• P•••••••• L•••investment advisern
- I••••••••• C••••• M••••••••• E• L••••••investment advisern
- I••••••••• C••••• M••••••••• U• L••investment advisernRAUM $12B
- I••••••••• E••••••• B••••• F••• 2••• G•• L•pooled vehicle sponsorn
- I••••••••• E••••••• P•••••• E••••• F••• I•• G• L••••••pooled vehicle sponsorn
- I••••••••• E••••••• P•••••• E••••• F••• I•• G• S•• R•••pooled vehicle sponsorn
- I••••••••• F•••••••• S•••••••• B•••••investment advisern
- I••••••••• F•••••• A• G• L••••••pooled vehicle sponsorn
- I••••••••• F••• M••••••••• S••••••• L••••••investment advisern
- I••••••••• G••• I••••••••• B••broker-dealerinvestment advisern
- I••••••••• I•••• A•••• M••••••• P•••••• L••••••investment advisern
- I••••••••• I••••••••• A••••••• L••investment adviserbanknRAUM $5.5B
- I••••••••• I••••••••• M••••••• I•••• L••investment advisern
- I••••••••• I••••••••• S•••••••• L••investment advisernRAUM $2.8B
- I••••••••• J••••• L••broker-dealern
- I••••••••• M•••• L••••••broker-dealern
- I••••••••• M••••••••• S••••••• L••••••investment advisern
- I••••••••• N•••• A••••••• P•••••• E••••• F••• I• G•• L•••pooled vehicle sponsorn
- I••••••••• P•••••• E••••• 2••• F••• G• L•investment advisern
- I••••••••• S•••• A••••• F•••••••• I••••••••• C••broker-dealern
- I••••••••• S••••••••• L••••••broker-dealerinvestment advisern
- I••••••••• S•••••••• C•••••• P••••••• G•• L•••pooled vehicle sponsorn
Advisers that list C• I••••••••• P•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing Jul 13, 2026related persons on Schedule D 7.A of 53.0 against a peer median of 5.0 (488 comparable advisers, 100.0th percentile, 16.2 robust deviations)peers: asset managers, $100M to $500M (488) · 100% percentile
- p•••••• fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (735 comparable advisers, 95.0th percentile of changes)peers: asset managers, $100M to $500M (735) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 5Aug 21, 2025 to Mar 31, 2026
- Advisory employees · 9 to 10Aug 21, 2025 to Mar 31, 2026
- BD registered reps · 0 to 1Aug 21, 2025 to Mar 31, 2026
- Corporate clients · 1.0 to unsetAug 21, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 3Aug 21, 2025 to Mar 31, 2026
- Assets in custody · $520M to $444MAug 21, 2025 to Mar 31, 2026
- Employees · 16 to 14Aug 21, 2025 to Mar 31, 2026
- Private funds · 2 to 3Aug 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $520M to $444MAug 21, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $264M to $208MAug 21, 2025 to Mar 31, 2026
- RAUM · $520M to $444MAug 21, 2025 to Mar 31, 2026
- Assets in custody · $151M to $520MDec 17, 2024 to Mar 28, 2025
- Employees · 13 to 16Dec 17, 2024 to Mar 28, 2025
- Financial planning clients · 0 to Dec 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $516M to $520MDec 17, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $249M to $264MDec 17, 2024 to Mar 28, 2025
- RAUM · $516M to $520MDec 17, 2024 to Mar 28, 2025
- Related bank · true to falseDec 17, 2024 to Mar 28, 2025
- Accounts · 2 to 4Jul 28, 2023 to Apr 1, 2024
- Advisory employees · 12 to 9Jul 28, 2023 to Apr 1, 2024
- Corporate clients · unset to 1.0Jul 28, 2023 to Apr 1, 2024
- Pooled vehicle clients · 1 to 2Jul 28, 2023 to Apr 1, 2024
- Employees · 15 to 13Jul 28, 2023 to Apr 1, 2024
- Private funds · 1 to 2Jul 28, 2023 to Apr 1, 2024
- Discretionary RAUM · $390M to $516MJul 28, 2023 to Apr 1, 2024
- Pooled vehicle RAUM · $151M to $249MJul 28, 2023 to Apr 1, 2024
- RAUM · $390M to $516MJul 28, 2023 to Apr 1, 2024
- Accounts · 1 to 2Mar 15, 2022 to Mar 31, 2023
- Advisory employees · 8 to 12Mar 15, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Mar 15, 2022 to Mar 31, 2023
- BD registered reps · 3 to 0Mar 15, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 1.0Mar 15, 2022 to Mar 31, 2023
- Assets in custody · unset to 151013174.0Mar 15, 2022 to Mar 31, 2023
- Custody of client assets · false to trueMar 15, 2022 to Mar 31, 2023
- Employees · 11 to 15Mar 15, 2022 to Mar 31, 2023
- Private funds · unset to 1Mar 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $309M to $390MMar 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · unset to 151013174.0Mar 15, 2022 to Mar 31, 2023
- RAUM · $309M to $390MMar 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $272M to $309MSep 15, 2021 to Mar 15, 2022
Signals
7 dated events
- Edward Christopher Jansen (Member) no longer on Schedule A of C• I••••••••• P•••••••• L•• (listed 2024-06-03, absent 2024-12-09)Dec 9, 2024 · Control person left · inference
- Ahmad Suhail Shaikh (Chief Investment Officer) appeared on Schedule A of C• I••••••••• P•••••••• L••Jun 3, 2024 · Control person joined · fact
- C• I••••••••• P•••••••• L•• reported RAUM $515.6M, up 32% from $390.4M (2023-07-28 to 2024-04-01)Apr 1, 2024 · RAUM change · derived
- Angelo Rocco Delguercio (Chief Financial Officer) no longer on Schedule A of C• I••••••••• P•••••••• L•• (listed 2023-07-28, absent 2024-04-01)Apr 1, 2024 · Control person left · inference
- S Paolo Cloma (Chief Compliance Officer) appeared on Schedule A of C• I••••••••• P•••••••• L••Apr 1, 2024 · Control person joined · fact
- Cyrus Stephen Freidheim (Member) no longer on Schedule A of C• I••••••••• P•••••••• L•• (listed 2019-03-13, absent 2019-09-26)Sep 26, 2019 · Control person left · inference
- C• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Nov 22, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C• I••••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C• I••••••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-703-1196reportedpublic record, Form ADV, Jul 13, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026