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••• ••• I••
Latest filing Sep 21, 2018
First filing on the tape Jul 3, 2014 · 12 filings
RAUM
$824M
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
16
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$69.5M gross assets
History
12 filings and snapshots on the tape
RAUM$884M as of Mar 29, 2018
Mar 31, 2015$44.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 31, 20150 then
Employees (5.A)26 as of Mar 29, 2018
Mar 31, 20153 then
Private funds3 as of Mar 29, 2018
Mar 30, 20173 then
RAUM +116% over the last fiscal year+165% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 21, 2018; 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
- $206MderivedRAUM 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
- +132%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$432M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C•••••• P••••••• M••••• F•••• L••• | Hedge Fund | $34.8M | 2 | Mar 30, 2017 |
| S•••••• C•••••• P••••••• O•••••• F•••• L••• | Hedge Fund | $30.3M | 19 | Mar 30, 2017 |
| S•••••• C•••••• P••••••• I••••••••• F•••• L••• | Hedge Fund | $4.5M | 2 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H•••• R•••••• C•••••• · President & Secretarycontrolsince 03/2014 · owns less than 5%
- M••••••••• D•••••• J••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- O••••••• E•••••• J••• · Chief Financial Officer & Chief Operating Officercontrolsince 02/2018 · owns less than 5%
- S••••• M••••••• L••• · Shareholdercontrolsince 01/2012 · owns 25% to 50% of M•• C•••••• ••• I••
Entity owners
- C••• F•••••••• I••••••••• C•••••• L•••••• · Parent Companydirect · owns 75% or more
- M•• C•••••• ••• I•• · Shareholderindirect · owns 25% to 50% of S••••• M••••••• L•••
Related persons
Schedule D 7.A
- C••• C••••• I• L••••••pooled vehicle sponsorn
- C••• C••••• I•• L••••••pooled vehicle sponsorn
- C••• C••••• I• L••••••pooled vehicle sponsorn
- C••• C••••• L••••••pooled vehicle sponsorn
- C••• C••••• V• L••••••pooled vehicle sponsorn
- C••• F•••••••• I••••••••• C•••••• •••• K•••• L••••••investment adviserbankn
- C••• F•••••••• I••••••••• C•••••• ••• Z••••••• L••••••investment advisern
- C••• F•••••••• I••••••••• C•••••• L••••••investment adviserbankyRAUM $4.9B
- C••• F•••••••• I••••••••• C•••••• P•• L••investment adviserbankn
- T••••••••• L••bankpooled vehicle sponsorn
Advisers that list C••• ••• I•• as a related person
- 165155 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Sep 13, 2018 to Sep 21, 2018
- Discretionary RAUM · $884M to $824MSep 13, 2018 to Sep 21, 2018
- RAUM · $884M to $824MSep 13, 2018 to Sep 21, 2018
- Advisory employees · 4 to 3May 25, 2018 to Jun 8, 2018
- Employees · 26 to 16May 25, 2018 to Jun 8, 2018
- Advisory employees · 9 to 4Jun 5, 2017 to Mar 29, 2018
- BD registered reps · 1 to 0Jun 5, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 4.0Jun 5, 2017 to Mar 29, 2018
- Employees · 23 to 26Jun 5, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jun 5, 2017 to Mar 29, 2018
- Discretionary RAUM · $381M to $884MJun 5, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 431571961.0Jun 5, 2017 to Mar 29, 2018
- RAUM · $381M to $884MJun 5, 2017 to Mar 29, 2018
- Accounts · 1 to 5Mar 30, 2016 to Mar 30, 2017
- Advisory employees · 5 to 9Mar 30, 2016 to Mar 30, 2017
- Advisory activities · 1 to 2Mar 30, 2016 to Mar 30, 2017
- BD registered reps · 0 to 1Mar 30, 2016 to Mar 30, 2017
- Employees · 12 to 23Mar 30, 2016 to Mar 30, 2017
- Private funds · unset to 3Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $107M to $381MMar 30, 2016 to Mar 30, 2017
- RAUM · $107M to $381MMar 30, 2016 to Mar 30, 2017
- Advisory employees · 3 to 5Mar 31, 2015 to Mar 30, 2016
- Employees · 3 to 12Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $44.2M to $107MMar 31, 2015 to Mar 30, 2016
- RAUM · $44.2M to $107MMar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $150M to $44.2MSep 23, 2014 to Mar 31, 2015
- RAUM · $150M to $44.2MSep 23, 2014 to Mar 31, 2015
- HQ city · LONDON to NEW YORKJul 10, 2014 to Sep 23, 2014
- HQ state · unset to NYJul 10, 2014 to Sep 23, 2014
Signals
2 dated events
- C••• ••• I•• reported RAUM $883.7M, up 132% from $381.3M (2017-06-05 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- C••• ••• I•• filed its initial SEC registration (Form ADV)Jul 3, 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