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••••••

Former SEC-registered adviserLondon, CRD 171789SEC 801-80282IAPD
Legal name C••• C•••••• I••••••••• M••••••••• L••••••
Latest filing Apr 20, 2016
First filing on the tape Aug 26, 2014 · 4 filings
RAUM
$10.5M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$10.5M gross assets
History
4 filings and snapshots on the tape
RAUM$10.5M as of Apr 20, 2016
Mar 26, 2015$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 20, 2016
Mar 26, 20150 then
Employees (5.A)3 as of Apr 20, 2016
Mar 26, 20153 then
Private funds1 as of Apr 20, 2016
Mar 26, 20152 then
RAUM -99% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 20, 2016; 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
$10.5MderivedRAUM 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
-99%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
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
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• G••••• M••••••••• F•••Hedge Fund$10.5M79Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• F•••••••• C••••• · Directorcontrol
        since 02/2004 · owns less than 5%
      • S•••••• A•••• N•• · Directorcontrol
        since 02/2004 · owns less than 5%
      • B•••••• F•••••••• C••••• · Individualcontrol
        since 02/2003 · owns 25% to 50% of B•• L••••••
      • S•••••• A•••• N•• · Individualcontrol
        since 02/2003 · owns 25% to 50% of B•• L••••••
      • W•••••••• M••••••• D•••• · Compliance Officer
        since 08/2014 · owns less than 5%
      Entity owners
      • C••• C•••••• H••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • B•• L•••••• · Holding Company
        indirect · owns 75% or more of C••• C•••••• H••••••• L••••••
      • C••• C•••••• H••••••• L•••••• · Holding Company
        indirect · owns 75% or more of C••• C•••••• Investment Management L••••••
      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 · 2 to 1
        Mar 26, 2015 to Apr 20, 2016
      • Private funds · 2 to 1
        Mar 26, 2015 to Apr 20, 2016
      • Discretionary RAUM · $1.0B to $10.5M
        Mar 26, 2015 to Apr 20, 2016
      • RAUM · $1.0B to $10.5M
        Mar 26, 2015 to Apr 20, 2016
      • Related adviser · true to false
        Mar 26, 2015 to Apr 20, 2016
      • Related bank · true to false
        Mar 26, 2015 to Apr 20, 2016
      • Accounts · 3 to 2
        Sep 26, 2014 to Mar 26, 2015
      • Advisory employees · 3 to 2
        Sep 26, 2014 to Mar 26, 2015
      • Discretionary RAUM · $1.0B to $1.0B
        Sep 26, 2014 to Mar 26, 2015
      • RAUM · $1.0B to $1.0B
        Sep 26, 2014 to Mar 26, 2015
      • Legal name · C••• C•••••• UK L•••••• to C••• C•••••• INVESTMENT MANAGEMENT L••••••
        Aug 26, 2014 to Sep 26, 2014
      Signals
      1 dated events
      • C••• C•••••• filed its initial SEC registration (Form ADV)
        Aug 26, 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