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••••••••• S•••••••• A•••••••

Former SEC-registered adviserNew Canaan, ConnecticutCRD 170993SEC 801-79584IAPD
Legal name C••••••••• S•••••••• A••••••• L••
Latest filing May 9, 2018
First filing on the tape Apr 2, 2014 · 17 filings
RAUM
$457M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$457M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$438M as of Feb 7, 2018
Feb 14, 2015$200M then
HNW client RAUM: $403M
State-registered IARs (5.B.3)2 as of Feb 7, 2018
Feb 14, 20152 then
Employees (5.A)2 as of Feb 7, 2018
Feb 14, 20152 then
Private funds: no history
RAUM -30% over the last fiscal year+32% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 9, 2018; every figure names its basis
RAUM per advisor
$228MderivedRAUM 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
$14.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, otherreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$457M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
32reported
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
  • D•••••• T•••••• C•••••• · Chief Executive Officer And Chief Investment Officercontrol
    since 12/2013 · owns 50% to 75%
  • S••••••• M•••• L•• · Chief Operating Officer And Chief Compliance Officercontrol
    since 12/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 3 to 32
    Feb 7, 2018 to May 9, 2018
  • Advisory activities · 2 to 3
    Feb 7, 2018 to May 9, 2018
  • Charity clients · 2.0 to unset
    Feb 7, 2018 to May 9, 2018
  • HNW clients · 3.0 to unset
    Feb 7, 2018 to May 9, 2018
  • HNW RAUM · $403M to $457M
    Feb 7, 2018 to May 9, 2018
  • Non-discretionary RAUM · $438M to $457M
    Feb 7, 2018 to May 9, 2018
  • RAUM · $438M to $457M
    Feb 7, 2018 to May 9, 2018
  • Accounts · 15 to 3
    Feb 6, 2017 to Jan 19, 2018
  • Charity clients · unset to 2.0
    Feb 6, 2017 to Jan 19, 2018
  • HNW clients · unset to 3.0
    Feb 6, 2017 to Jan 19, 2018
  • Other offices · unset to 0.0
    Feb 6, 2017 to Jan 19, 2018
  • HNW RAUM · unset to 402978426.0
    Feb 6, 2017 to Jan 19, 2018
  • Non-discretionary RAUM · $650M to $438M
    Feb 6, 2017 to Jan 19, 2018
  • RAUM · $650M to $438M
    Feb 6, 2017 to Jan 19, 2018
  • Accounts · 33 to 15
    Feb 19, 2016 to Feb 6, 2017
  • BD registered reps · 2 to 0
    Feb 19, 2016 to Feb 6, 2017
  • Discretionary RAUM · $350M to $0
    Feb 19, 2016 to Feb 6, 2017
  • Non-discretionary RAUM · $150M to $650M
    Feb 19, 2016 to Feb 6, 2017
  • RAUM · $500M to $650M
    Feb 19, 2016 to Feb 6, 2017
  • Accounts · 10 to 33
    Dec 23, 2015 to Feb 19, 2016
  • Discretionary RAUM · $0 to $350M
    Dec 23, 2015 to Feb 19, 2016
  • Non-discretionary RAUM · $350M to $150M
    Dec 23, 2015 to Feb 19, 2016
  • RAUM · $350M to $500M
    Dec 23, 2015 to Feb 19, 2016
  • Non-discretionary RAUM · $200M to $350M
    Dec 23, 2015 to Dec 23, 2015
  • RAUM · $200M to $350M
    Dec 23, 2015 to Dec 23, 2015
  • Accounts · 4 to 10
    Feb 14, 2015 to Nov 3, 2015
  • Accounts · 2 to 4
    Oct 20, 2014 to Feb 14, 2015
  • Discretionary RAUM · $150M to $0
    Oct 20, 2014 to Feb 14, 2015
  • Non-discretionary RAUM · $0 to $200M
    Oct 20, 2014 to Feb 14, 2015
  • RAUM · $150M to $200M
    Oct 20, 2014 to Feb 14, 2015
  • HQ city · STAMFORD to NEW CANAAN
    Sep 8, 2014 to Oct 20, 2014
  • Accounts · 1 to 2
    Aug 15, 2014 to Sep 8, 2014
  • Discretionary RAUM · $175M to $150M
    Aug 15, 2014 to Sep 8, 2014
  • RAUM · $175M to $150M
    Aug 15, 2014 to Sep 8, 2014
  • Accounts · 0 to 1
    May 19, 2014 to Jul 17, 2014
  • Discretionary RAUM · $0 to $175M
    May 19, 2014 to Jul 17, 2014
  • RAUM · $0 to $175M
    May 19, 2014 to Jul 17, 2014
  • Legal name · S••••••, M••• LOU to C••••••••• S•••••••• A••••••• L••
    Apr 2, 2014 to Apr 30, 2014
Signals
2 dated events
  • C••••••••• S•••••••• A••••••• reported RAUM $438.2M, down 33% from $650.0M (2017-02-06 to 2018-01-19)
    Jan 19, 2018 · RAUM change · derived
  • C••••••••• S•••••••• A••••••• filed its initial SEC registration (Form ADV)
    Apr 2, 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