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Former SEC-registered adviser

C•• T••••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 169989SEC 801-79064IAPD
Latest filing Apr 21, 2017
First filing on the tape Jan 7, 2014 · 10 filings
RAUM
$505M
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
n/a
beyond the principal office
Private funds
1
$505M gross assets
History
10 filings and snapshots on the tape
RAUM$505M as of Mar 31, 2017
Mar 30, 2015$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20150 then
Employees (5.A)9 as of Mar 31, 2017
Mar 30, 201512 then
Private funds1 as of Mar 31, 2017
Mar 30, 20152 then
RAUM -50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 21, 2017; 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
$505MderivedRAUM 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
-50%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 vehiclesreportedItem 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
  • 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
1reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• C••••• P••••••• C•• I• L•••Securitized Asset Fund$507M25Mar 30, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• M•••• W•••••• · Ceocontrol
        since 10/2013 · owns less than 5%
      • W••• M•••••• M••• L••• · Directorcontrol
        since 10/2013 · owns less than 5%
      • B••••••••• M•••• W•••••• · Managing Membercontrol
        since 10/2013 · owns 75% or more of C•••••••• C•••••• M••••••••• L••
      • B••••••••• M•••• W•••••• · Managing Membercontrol
        since 10/2016 · owns 75% or more of C•• H••••• G•• L••
      • S•••••• W••••••• G••• · Trusteecontrol
        since 12/2015 · owns F of M•••••• G••• S••••• T••••
      • S•••••• W••••••• G••• · Managercontrol
        since 12/2015 · owns 50% to 75% of P••• S••• C••••••• L••
      • N••••• J••• · Chief Compliance Officer
        since 11/2013 · owns less than 5%
      Entity owners
      • C•• H••••• G•• L•• · General Partner Of C••••••• C••••• P•••••••• L•
        direct · owns less than 5%
      • C••••••• C••••• H•••••••• L•• · Member
        direct · owns 25% to 50%
      • C••••••• C••••• P•••••••• L• · Managing Member Of C••••••• C•• A•••••••• L••
        direct · owns 75% or more
      • C•••••••• C•••••• P•••••••• L••• · Managing Member
        direct · owns 50% to 75%
      • P••• S••• C••••••• L•• · Limited Partner Of C••••••• C••••• P•••••••• L•
        direct · owns 50% to 75%
      • C•••••••• C•••••• M••••••••• L•• · General Partner
        indirect · owns 75% or more of C•••••••• C•••••• P•••••••• L•••
      • C•••••••• C•••••• P•••••••• L••• · Managing Member
        indirect · owns 25% to 50% of C••••••• C••••• H•••••••• L••
      • M•••••• G••• S••••• T•••• · Member
        indirect · owns 25% to 50% of P••• S••• C••••••• L••
      Related persons
      Schedule D 7.A
      • C••••••• C•• A•••••••• L••
        investment advisern
      • C••••••• C••••• P•••••••• L•
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Dec 6, 2016 to Mar 31, 2017
      • Advisory employees · 8 to 7
        Dec 6, 2016 to Mar 31, 2017
      • Business name · C••••••• C••••• P•••••••• L•• to C•• T••••••••• L••
        Dec 6, 2016 to Mar 31, 2017
      • Employees · 10 to 9
        Dec 6, 2016 to Mar 31, 2017
      • Legal name · C••••••• C••••• P•••••••• L•• to C•• T••••••••• L••
        Dec 6, 2016 to Mar 31, 2017
      • Private funds · 2 to 1
        Dec 6, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.0B to $505M
        Dec 6, 2016 to Mar 31, 2017
      • RAUM · $1.0B to $505M
        Dec 6, 2016 to Mar 31, 2017
      • Related adviser · false to true
        Mar 28, 2016 to Dec 6, 2016
      • Advisory employees · 10 to 8
        Feb 24, 2016 to Mar 28, 2016
      • Employees · 12 to 10
        Feb 24, 2016 to Mar 28, 2016
      • Discretionary RAUM · $1.0B to $1.0B
        Feb 24, 2016 to Mar 28, 2016
      • RAUM · $1.0B to $1.0B
        Feb 24, 2016 to Mar 28, 2016
      • Discretionary RAUM · $1.0B to $1.0B
        Mar 30, 2015 to Apr 29, 2015
      • RAUM · $1.0B to $1.0B
        Mar 30, 2015 to Apr 29, 2015
      • Accounts · 1 to 2
        Aug 6, 2014 to Mar 30, 2015
      • Advisory employees · 7 to 10
        Aug 6, 2014 to Mar 30, 2015
      • Employees · 7 to 12
        Aug 6, 2014 to Mar 30, 2015
      • Private funds · unset to 2
        Aug 6, 2014 to Mar 30, 2015
      • Discretionary RAUM · $100M to $1.0B
        Aug 6, 2014 to Mar 30, 2015
      • RAUM · $100M to $1.0B
        Aug 6, 2014 to Mar 30, 2015
      • Accounts · unset to 1.0
        Jan 7, 2014 to Jun 9, 2014
      • Discretionary RAUM · unset to 100000000.0
        Jan 7, 2014 to Jun 9, 2014
      • Non-discretionary RAUM · unset to 0.0
        Jan 7, 2014 to Jun 9, 2014
      • RAUM · unset to 100000000.0
        Jan 7, 2014 to Jun 9, 2014
      Signals
      1 dated events
      • C••••••• C••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 7, 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