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••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 169153SEC 801-78712IAPD
Latest filing Dec 20, 2016
First filing on the tape Oct 15, 2013 · 28 filings
RAUM
$307M
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
8
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$307M as of Jan 11, 2016
Feb 18, 2014$267M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 11, 2016
Feb 18, 20141 then
Employees (5.A)8 as of Jan 11, 2016
Feb 18, 20145 then
Private funds: no history
RAUM -0.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 20, 2016; 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
$1.8MderivedRAUM 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
-0.9%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 assetsreportedItem 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)
  • 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
174reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• M••••••• R•••••• · Secretary/Ccocontrol
        since 12/2013 · owns less than 5%
      • M••••••••• I••• A••••• · Executive Vice President & Assistant Secretarycontrol
        since 10/2013 · owns less than 5%
      • M••••• R•••••• P••••• · Ceo/Chairman/Directorcontrol
        since 12/2013 · owns less than 5%
      • W•••• J•••• H• · Treasurer And Managing Directorcontrol
        since 10/2013 · owns less than 5%
      • A••••••• L•••••• K••• · Member
        since 10/2014 · owns 5% to 10%
      • M••••• R•••••• B•••••• · Member
        since 08/2015 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 163 to 174
        Oct 2, 2015 to Jan 11, 2016
      • Advisory employees · 6 to 7
        Oct 2, 2015 to Jan 11, 2016
      • Employees · 7 to 8
        Oct 2, 2015 to Jan 11, 2016
      • Discretionary RAUM · $292M to $307M
        Oct 2, 2015 to Jan 11, 2016
      • RAUM · $292M to $307M
        Oct 2, 2015 to Jan 11, 2016
      • Accounts · 130 to 163
        May 13, 2015 to Oct 2, 2015
      • Advisory employees · 5 to 6
        May 13, 2015 to Oct 2, 2015
      • Employees · 6 to 7
        May 13, 2015 to Oct 2, 2015
      • Discretionary RAUM · $312M to $292M
        May 13, 2015 to Oct 2, 2015
      • RAUM · $312M to $292M
        May 13, 2015 to Oct 2, 2015
      • Accounts · 131 to 130
        Jan 13, 2015 to May 13, 2015
      • Advisory employees · 4 to 5
        Jan 13, 2015 to May 13, 2015
      • Advisory activities · 3 to 2
        Jan 13, 2015 to May 13, 2015
      • Employees · 5 to 6
        Jan 13, 2015 to May 13, 2015
      • Discretionary RAUM · $310M to $312M
        Jan 13, 2015 to May 13, 2015
      • RAUM · $310M to $312M
        Jan 13, 2015 to May 13, 2015
      • Related adviser · false to true
        Jan 13, 2015 to May 13, 2015
      • Accounts · 132 to 131
        Dec 16, 2014 to Jan 13, 2015
      • Discretionary RAUM · $299M to $310M
        Dec 16, 2014 to Jan 13, 2015
      • RAUM · $299M to $310M
        Dec 16, 2014 to Jan 13, 2015
      • Succession · true to false
        Dec 16, 2014 to Jan 13, 2015
      • Succession · false to true
        Nov 25, 2014 to Dec 16, 2014
      • Advisory activities · 2 to 3
        Oct 7, 2014 to Oct 23, 2014
      • Related adviser · true to false
        Oct 7, 2014 to Oct 23, 2014
      • Related broker-dealer · true to false
        Oct 7, 2014 to Oct 23, 2014
      • Legal name · C•••••• G••••••• A•••• M••••••••• L•• to C• A•••• M••••••••• L••
        Oct 6, 2014 to Oct 7, 2014
      • Business name · C•••••• G••••••• A•••• M••••••••• L•• to C• A•••• M••••••••• L••
        Oct 7, 2014 to Oct 7, 2014
      • Accounts · 121 to 132
        May 29, 2014 to Oct 6, 2014
      • Employees · 6 to 5
        May 29, 2014 to Oct 6, 2014
      • Insurance-licensed employees · 1 to 0
        May 29, 2014 to Oct 6, 2014
      • State-registered IARs · 1 to 0
        May 29, 2014 to Oct 6, 2014
      • Discretionary RAUM · $270M to $299M
        May 29, 2014 to Oct 6, 2014
      • RAUM · $270M to $299M
        May 29, 2014 to Oct 6, 2014
      • Accounts · 107 to 121
        Feb 18, 2014 to May 19, 2014
      • Employees · 5 to 6
        Feb 18, 2014 to May 19, 2014
      • Discretionary RAUM · $267M to $270M
        Feb 18, 2014 to May 19, 2014
      • RAUM · $267M to $270M
        Feb 18, 2014 to May 19, 2014
      • Accounts · 123 to 107
        Jan 15, 2014 to Feb 18, 2014
      • Advisory activities · 1 to 2
        Jan 15, 2014 to Feb 18, 2014
      • Discretionary RAUM · $261M to $267M
        Jan 15, 2014 to Feb 18, 2014
      Signals
      2 dated events
      • C• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 16, 2014 · Succession (Item 4) · fact
      • C•••••• G••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 15, 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