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.

Former SEC-registered adviser

Cornerstone Capital Inc.

Former SEC-registered adviserNew York, New YorkCRD 169232SEC 801-80216IAPD
Latest filing Jun 30, 2020
First filing on the tape Aug 11, 2014 · 19 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
7.0%
of RAUM
Private clients
89%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2020
Mar 31, 2015$37.0M then
HNW client RAUM$1.0B as of Mar 27, 2020
Mar 28, 2018$899M then
State-registered IARs (5.B.3)4 as of Mar 27, 2020
Mar 31, 20151 then
Employees (5.A)19 as of Mar 27, 2020
Mar 31, 201520 then
Private funds: no history
RAUM +18% over the last fiscal year+9.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$286MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
8derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$59.3MderivedHNW RAUM over HNW clients
Average account
$5.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
7.0%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.2%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.0B88%
  • Charitable organizations$125M11%
  • Individuals$5.8M0.5%
  • Investment companies$5.5M0.5%
Individual clients
13reported
HNW clients
17reported
Pension plan clients
0reported
Charitable clients
10reported
Accounts
194reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michele Erika Karp · Ceocontrol
    since 06/2013 · owns 75% or more
  • Craig Metrick · Ciocontrol
    since 01/2020 · owns less than 5%
  • Ellen Fern Thomas · Cco/Cfo/Coocontrol
    since 09/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Denver, CO2 employees
What changed
consecutive filings, newest first
  • Accounts · 203 to 194
    Nov 21, 2019 to Mar 27, 2020
  • HNW clients · 19 to 17
    Nov 21, 2019 to Mar 27, 2020
  • Individual clients · 12 to 13
    Nov 21, 2019 to Mar 27, 2020
  • Discretionary RAUM · $108M to $80.3M
    Nov 21, 2019 to Mar 27, 2020
  • HNW RAUM · $838M to $1.0B
    Nov 21, 2019 to Mar 27, 2020
  • Individual RAUM · $2.8M to $5.8M
    Nov 21, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $863M to $1.1B
    Nov 21, 2019 to Mar 27, 2020
  • RAUM · $971M to $1.1B
    Nov 21, 2019 to Mar 27, 2020
  • Accounts · 202 to 203
    Mar 27, 2019 to Nov 21, 2019
  • Advisory activities · 5 to 6
    Mar 27, 2019 to Nov 21, 2019
  • Discretionary RAUM · $103M to $108M
    Mar 27, 2019 to Nov 21, 2019
  • RAUM · $966M to $971M
    Mar 27, 2019 to Nov 21, 2019
  • Accounts · 321 to 202
    Oct 29, 2018 to Mar 27, 2019
  • Advisory employees · 18 to 14
    Oct 29, 2018 to Mar 27, 2019
  • Charity clients · 6 to 10
    Oct 29, 2018 to Mar 27, 2019
  • HNW clients · 17 to 19
    Oct 29, 2018 to Mar 27, 2019
  • Individual clients · 6 to 12
    Oct 29, 2018 to Mar 27, 2019
  • Employees · 20 to 19
    Oct 29, 2018 to Mar 27, 2019
  • Discretionary RAUM · $110M to $103M
    Oct 29, 2018 to Mar 27, 2019
  • HNW RAUM · $899M to $838M
    Oct 29, 2018 to Mar 27, 2019
  • Individual RAUM · $2.8M to $2.8M
    Oct 29, 2018 to Mar 27, 2019
  • Non-discretionary RAUM · $897M to $863M
    Oct 29, 2018 to Mar 27, 2019
  • RAUM · $1.0B to $966M
    Oct 29, 2018 to Mar 27, 2019
  • Accounts · 299 to 321
    Nov 14, 2017 to Mar 28, 2018
  • Advisory employees · 14 to 18
    Nov 14, 2017 to Mar 28, 2018
  • Advisory activities · 6 to 5
    Nov 14, 2017 to Mar 28, 2018
  • Charity clients · 0 to 6
    Nov 14, 2017 to Mar 28, 2018
  • HNW clients · 0 to 17
    Nov 14, 2017 to Mar 28, 2018
  • Individual clients · 0 to 6
    Nov 14, 2017 to Mar 28, 2018
  • Employees · 16 to 20
    Nov 14, 2017 to Mar 28, 2018
  • State-registered IARs · 3 to 4
    Nov 14, 2017 to Mar 28, 2018
  • Discretionary RAUM · $77.2M to $110M
    Nov 14, 2017 to Mar 28, 2018
  • HNW RAUM · $0 to $899M
    Nov 14, 2017 to Mar 28, 2018
  • Individual RAUM · $0 to $2.8M
    Nov 14, 2017 to Mar 28, 2018
  • Non-discretionary RAUM · $805M to $897M
    Nov 14, 2017 to Mar 28, 2018
  • RAUM · $882M to $1.0B
    Nov 14, 2017 to Mar 28, 2018
  • Advisory employees · 16 to 14
    Mar 20, 2017 to Nov 14, 2017
  • Charity clients · unset to 0.0
    Mar 20, 2017 to Nov 14, 2017
  • Corporate clients · unset to 0.0
    Mar 20, 2017 to Nov 14, 2017
  • HNW clients · unset to 0.0
    Mar 20, 2017 to Nov 14, 2017
Signals
4 dated events
  • Craig Metrick (Cio) appeared on Schedule A of Cornerstone Capital Inc.
    Mar 27, 2020 · Control person joined · fact
  • Todd Philip Kirshman (Cio) no longer on Schedule A of Cornerstone Capital Inc. (listed 2019-11-21, absent 2020-03-27)
    Mar 27, 2020 · Control person left · inference
  • John Wilson (Head Of Research And Corporate Governance) no longer on Schedule A of Cornerstone Capital Inc. (listed 2019-03-27, absent 2019-11-21)
    Nov 21, 2019 · Control person left · inference
  • Cornerstone Capital Inc. filed its initial SEC registration (Form ADV)
    Aug 11, 2014 · 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