DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•• C•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 23, 2017 · 14 filings
SEC status approved since Jul 24, 2017
RAUM
$844M
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
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$844M as of Mar 31, 2026
Mar 30, 2018$314M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20180 then
Employees (5.A)9 as of Mar 31, 2026
Mar 30, 20189 then
Private funds3 as of Mar 31, 2026
Mar 30, 20183 then
RAUM +23% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $70.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%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
- +23%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $13.0M, 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$672M80%
- State and municipal entities$172M20%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.0M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.8 institutional_share=0.2 related_bd=false related_bank=true bd_reps=0.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• C••••• O••••••••• M••••• F•••• L••• | Hedge Fund | $175M | 46 | Oct 2, 2013 |
| C•• S•••••••• A•••••••• M••••• F•••• L•• | Hedge Fund | $105M | 12 | Mar 30, 2018 |
| R••••••• C•••••• L• | Hedge Fund | $48.2M | 35 | Oct 2, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••• K••••• C•••••• · Managing Membercontrolsince 01/2013 · owns 50% to 75%
- G••••••• S••••••••• · Coocontrolsince 03/2013 · owns less than 5%
- K•••• J••••• C••• · Ccocontrolsince 03/2019 · owns less than 5%
- Y•••••• C••••••••• · Managing Membercontrolsince 01/2013 · owns 50% to 75%
- B•••• J•••• M•••• · Managing Partnercontrolsince 04/2003 · owns 75% or more of R••••••• A•••• M••••••••• L•
Entity owners
- R••••••• A•••• M••••••••• L• · Managing Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- C•• C•••••• G• L••bankpooled vehicle sponsorn
- R••••••• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Palm Beach Gardens, FL3 employees
- Conshohocken, PA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 20% against a peer median of 0% (784 comparable advisers, 98.0th percentile, 6.9 robust deviations)peers: asset managers, $500M to $1B (784) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 12Sep 24, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 11Sep 24, 2025 to Mar 31, 2026
- Assets in custody · $61.5M to $13.0MSep 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $687M to $844MSep 24, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $557M to $672MSep 24, 2025 to Mar 31, 2026
- RAUM · $687M to $844MSep 24, 2025 to Mar 31, 2026
- Accounts · 12 to 10Mar 31, 2024 to Mar 31, 2025
- Advisory employees · 8 to 7Mar 31, 2024 to Mar 31, 2025
- Charity clients · unset to 0.0Mar 31, 2024 to Mar 31, 2025
- Corporate clients · unset to 0.0Mar 31, 2024 to Mar 31, 2025
- HNW clients · unset to 0.0Mar 31, 2024 to Mar 31, 2025
- Individual clients · unset to 0.0Mar 31, 2024 to Mar 31, 2025
- Pension plan clients · unset to 0.0Mar 31, 2024 to Mar 31, 2025
- Pooled vehicle clients · 11 to 9Mar 31, 2024 to Mar 31, 2025
- Assets in custody · $131M to $61.5MMar 31, 2024 to Mar 31, 2025
- Employees · 10 to 9Mar 31, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 31, 2024 to Mar 31, 2025
- Other offices · 2 to 1Mar 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $773M to $687MMar 31, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $590M to $557MMar 31, 2024 to Mar 31, 2025
- RAUM · $773M to $687MMar 31, 2024 to Mar 31, 2025
- Assets in custody · $153M to $131MMar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $901M to $773MMar 31, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $691M to $590MMar 31, 2023 to Mar 31, 2024
- RAUM · $901M to $773MMar 31, 2023 to Mar 31, 2024
- Accounts · 11 to 12Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 9 to 8Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 10 to 11Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $76.5M to $153MMar 31, 2022 to Mar 31, 2023
- Employees · 11 to 10Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $765M to $901MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $580M to $691MMar 31, 2022 to Mar 31, 2023
- RAUM · $765M to $901MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $24.0M to $76.5MMar 31, 2021 to Mar 31, 2022
- Employees · 10 to 11Mar 31, 2021 to Mar 31, 2022
- Other offices · 0 to 2Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $611M to $765MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $479M to $580MMar 31, 2021 to Mar 31, 2022
- RAUM · $611M to $765MMar 31, 2021 to Mar 31, 2022
- Accounts · 7 to 11Mar 31, 2020 to Mar 31, 2021
Signals
5 dated events
- C•• C•••••• L•• reported RAUM $764.6M, up 25% from $611.1M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•• C•••••• L•• reported RAUM $600.0M, up 89% from $317.1M (2020-01-30 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Chun James Kwok (Cco) appeared on Schedule A of C•• C•••••• L••Mar 31, 2019 · Control person joined · fact
- C•• C•••••• L•• reported RAUM $313.7M, up 47% from $213.4M (2017-06-23 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- C•• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 23, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/13997460/adminreportedpublic record, Form ADV, Sep 21, 2026
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (212)893-1150reportedpublic record, Form ADV, Mar 31, 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