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••••••• I•• L•••

Former SEC-registered adviserBala Cynwyd, PennsylvaniaCRD 170800SEC 801-79866IAPD
Latest filing Mar 31, 2017
First filing on the tape May 29, 2014 · 9 filings
RAUM
$104M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$104M as of Mar 31, 2017
Mar 31, 2015$100,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 31, 20150 then
Employees (5.A)5 as of Mar 31, 2017
Mar 31, 20157 then
Private funds: no history
RAUM +69% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$104MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+69%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 investment companiesreportedItem 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)
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
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
      • C••••••• J•••• J••••• · Chief Operating Officercontrol
        since 03/2016 · owns less than 5%
      • C••••••••• J•••• N••••• · President And Chief Investment Officercontrol
        since 02/2015 · owns less than 5%
      • D•••••• A•••••• J•••••• · Senior Vice Presidentcontrol
        since 05/2015 · owns 5% to 10%
      • K••••• C••••••• A••• · Chief Compliance Officercontrol
        since 02/2016 · owns less than 5%
      • W•••• A•••••• C•••••• · Senior Vice Presidentcontrol
        since 02/2015 · owns 5% to 10%
      • W•••• D••••• D•••• · Counselcontrol
        since 08/2015 · owns less than 5%
      • B•••••••• R•••••• J••• · Membercontrol
        since 02/2014 · owns 75% or more of R• C•• G•• L••
      • B•••••• E•••• M••••••• · Limited Partnercontrol
        since 04/2005 · owns 75% or more of E• C•• H•••••••• L•••
      • B•••••• E•••• M••••••• · Membercontrol
        since 08/2014 · owns 50% to 75% of C•• C••• L••
      • C••••••••• J•••• N••••• · Membercontrol
        since 10/2014 · owns 75% or more of J•• C•• G•• L••
      Entity owners
      • C•••••• A•••• M••••••••• I• G•• L•• · General Partner
        direct · owns less than 5%
      • C•••••• A•••• M••••••••• L••• · Limited Partner
        direct · owns 75% or more
      • C•• C••• L•• · Limited Partner
        indirect · owns 75% or more of C•••••• A•••• M••••••••• L•••
      • C•••••• A•••• M••••••••• G•• L•• · Member
        indirect · owns 75% or more of C•••••• A•••• M••••••••• I• G•• L••
      • C•••••• A•••• M••••••••• G•• L•• · General Partner
        indirect · owns F of C•••••• A•••• M••••••••• L•••
      • C•••••• C•••••• P••••••• · Member
        indirect · owns 50% to 75% of C•• C••• L••
      • E• C•• H•••••••• L••• · Limited Partner
        indirect · owns 50% to 75% of C•••••• C•••••• P•••••••• L•••
      • J•• C•• G•• L•• · Member
        indirect · owns 50% to 75% of C•••••• A•••• M••••••••• G•• L••
      • R• C•• G•• L•• · Member
        indirect · owns 50% to 75% of C•••••• A•••• M••••••••• G•• L••
      • C•••••• I•• I••••••••• L•• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C•• B• I••• L•
        pooled vehicle sponsorn
      • C•• B• M••••••••• I•• L••
        investment advisern
      • C•• B• M••••••••• L••
        investment advisern
      • C••••••• C•••••• L••
        investment advisern
      • C•••••• A••••••• I••• L••
        investment adviserbanknRAUM $10.9M
      • C•••••• A•• G•• L•••
        investment adviserbankpooled vehicle sponsorn
      • Bhz Capital Management, LP
        investment advisernRAUM $153M
      • C•••••• C•••••• P•••••••• L•••
        pooled vehicle sponsory
      • C•••••• C•••• G• I••• L••
        pooled vehicle sponsorn
      Advisers that list C•••••• A••••••• I•• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Concorde, MA
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Mar 25, 2016 to Mar 31, 2017
      • BD registered reps · 0 to 1
        Mar 25, 2016 to Mar 31, 2017
      • Employees · 6 to 5
        Mar 25, 2016 to Mar 31, 2017
      • Discretionary RAUM · $61.3M to $104M
        Mar 25, 2016 to Mar 31, 2017
      • RAUM · $61.3M to $104M
        Mar 25, 2016 to Mar 31, 2017
      • Employees · 7 to 6
        Feb 4, 2016 to Mar 25, 2016
      • Discretionary RAUM · $100,000 to $61.3M
        Feb 4, 2016 to Mar 25, 2016
      • RAUM · $100,000 to $61.3M
        Feb 4, 2016 to Mar 25, 2016
      • Related bank · false to true
        Feb 4, 2016 to Mar 25, 2016
      • Accounts · unset to 1.0
        Feb 17, 2015 to Mar 31, 2015
      • Employees · 3 to 7
        Feb 17, 2015 to Mar 31, 2015
      • Discretionary RAUM · unset to 100000.0
        Feb 17, 2015 to Mar 31, 2015
      • Non-discretionary RAUM · unset to 0.0
        Feb 17, 2015 to Mar 31, 2015
      • RAUM · unset to 100000.0
        Feb 17, 2015 to Mar 31, 2015
      • Advisory activities · 2 to 1
        May 29, 2014 to Feb 17, 2015
      • Financial planning clients · unset to 0
        May 29, 2014 to Feb 17, 2015
      Signals
      1 dated events
      • C•••••• A••••••• I•• L••• filed its initial SEC registration (Form ADV)
        May 29, 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