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••••••• L••
Latest filing Nov 19, 2014
First filing on the tape Jan 8, 2014 · 10 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 19, 2014
Jan 8, 20140 then
Employees (5.A)5 as of Nov 19, 2014
Jan 8, 20145 then
Private funds: no history
Practice profile
derived from the filing of Nov 19, 2014; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- 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 assets, hourly, fixed feesreportedItem 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
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- n/areported
- Financial planning clients
- 0reported
- 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
- F••••• M••• to J••• M••••• S••••••••• L••Dec 20, 2017 · Other
- C••••••• L••• to P•••••• C•••••• A••••••• L••Dec 20, 2017 · Other
- E••• L••• H••••••••• V••••••• to H••••• I•••••Nov 30, 2016 · Other
Joined, latest
- E••• L••• H••••••••• V••••••• from L••••••••• G••••• A•••••••• L••Jun 30, 2014 · Other
- C••••••• L••• from M••••• K••••• • C••••••• L••Mar 24, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R••••••••• P• · Ceosince 01/2014 · owns less than 5%
- L•••••••• D••••• · Ccosince 01/2014 · owns less than 5%
Entity owners
- C••• H••••••• L•• · Managing Partnerdirect · owns 75% or more
- C•••••••• I••••••••• L••• · Shareholderindirect · owns 50% to 75% of C••• H••••••• L••
- E• M•••••• I••••••••• L••• · Shareholderindirect · owns F of C••• H••••••• L••
- I••••••••• E• I••••••••• B•••••••• L•••• · Shareholderindirect · owns F of C••• H••••••• L••
- I••••••••• Y• V•••••• L••••••• · Shareholderindirect · owns F of C••• H••••••• L••
Related persons
Schedule D 7.A
- C••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Aug 19, 2014 to Sep 17, 2014
- Advisory employees · 4 to 3May 21, 2014 to Aug 19, 2014
- Advisory activities · 2 to 3May 21, 2014 to Aug 19, 2014
- BD registered reps · 5 to 3May 21, 2014 to Aug 19, 2014
Signals
1 dated events
- C••• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 8, 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