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••••••• C•••••• P•••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 170030SEC 801-79030IAPD
Latest filing Mar 26, 2015
First filing on the tape Dec 26, 2013 · 13 filings
RAUM
$95.9M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$95.9M as of Mar 26, 2015
Dec 26, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2015
Dec 26, 20132 then
Employees (5.A)7 as of Mar 26, 2015
Dec 26, 20134 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2015; every figure names its basis
RAUM per advisor
$47.9MderivedRAUM 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
$388,254derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
247reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• B•••• · Chief Investment Officer And Managing Membercontrol
    since 01/2014 · owns less than 5%
  • L•••••••• P•••• A••••• · President And Managing Membercontrol
    since 01/2014 · owns less than 5%
  • V••••••••• R••••••• J•••• · Chief Operating Officer / Managing Membercontrol
    since 01/2014 · owns less than 5%
  • W••••••• F•••• H••• · Chief Compliance Officercontrol
    since 08/2014 · owns less than 5%
  • Z••••••• K••••••• R•••••• · Managing Membercontrol
    since 01/2014 · owns less than 5%
  • C••••••• B•••• · Managing Membercontrol
    since 01/2014 · owns F of C••••••• C••••••• L••
  • L•••••••• P•••• A••••• · Managing Membercontrol
    since 01/2014 · owns 25% to 50% of H••••••••• M••••• L••
  • V••••••••• R••••••• J•••• · Managing Membercontrol
    since 01/2014 · owns 25% to 50% of H••••••••• M••••• L••
  • Z••••••• K••••••• R•••••• · Managing Membercontrol
    since 01/2014 · owns 25% to 50% of H••••••••• M••••• L••
Entity owners
  • C••••••• C•••••• L•• · General Partner
    direct · owns 75% or more
  • H••••••••• M••••• L•• · Indirect Owner
    indirect · owns 25% to 50% of C••••••• C••••••• L••
  • L•••• H•••••• C•••••• T•••• · General Partner
    indirect · owns 75% or more of L•••• W••••••• Investments LLC
  • L•••• W••••••• I••••••••• I• L•• · Managing Member
    indirect · owns 25% to 50% of C••••••• C•••••• L••
  • N••••••• R••••••• L•• · Limited Partner
    direct · 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 · 161 to 247
    Dec 18, 2014 to Mar 26, 2015
  • Advisory activities · 1 to 2
    Dec 18, 2014 to Mar 26, 2015
  • BD registered reps · 0 to 1
    Dec 18, 2014 to Mar 26, 2015
  • Employees · 4 to 7
    Dec 18, 2014 to Mar 26, 2015
  • Insurance-licensed employees · 2 to 1
    Dec 18, 2014 to Mar 26, 2015
  • Discretionary RAUM · $65.9M to $95.6M
    Dec 18, 2014 to Mar 26, 2015
  • Non-discretionary RAUM · $0 to $257,604
    Dec 18, 2014 to Mar 26, 2015
  • RAUM · $65.9M to $95.9M
    Dec 18, 2014 to Mar 26, 2015
  • Related broker-dealer · false to true
    Dec 18, 2014 to Mar 26, 2015
  • Accounts · 0 to 161
    May 5, 2014 to Jul 16, 2014
  • Discretionary RAUM · $0 to $65.9M
    May 5, 2014 to Jul 16, 2014
  • RAUM · $0 to $65.9M
    May 5, 2014 to Jul 16, 2014
  • Succession · true to false
    Apr 24, 2014 to May 5, 2014
  • Succession · false to true
    Feb 26, 2014 to Apr 24, 2014
  • Succession · true to false
    Feb 6, 2014 to Feb 26, 2014
  • Succession · false to true
    Feb 3, 2014 to Feb 6, 2014
  • Business name · C••••••• C••••••• L•• to C••••••• C••••••• L••
    Jan 17, 2014 to Feb 3, 2014
  • Legal name · C••••••• C••••••• L•• to C••••••• C••••••• L••
    Jan 17, 2014 to Feb 3, 2014
  • Organization form · Limited Liability Company to Limited Liability Partnership
    Jan 17, 2014 to Feb 3, 2014
  • Business name · C••••••• C••••••• L•• to C••••••• C•••••• P•••••••• L••
    Feb 3, 2014 to Feb 3, 2014
  • Legal name · C••••••• C••••••• L•• to C••••••• C•••••• P•••••••• L••
    Feb 3, 2014 to Feb 3, 2014
Signals
2 dated events
  • C••••••• C•••••• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Feb 6, 2014 · Succession (Item 4) · fact
  • C••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
    Dec 26, 2013 · ria f•••• adv filing · 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