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••••• C•••••• L••••••
Latest filing Mar 16, 2015
First filing on the tape Aug 15, 2014 · 2 filings
RAUM
$148M
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
21
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$148M as of Mar 16, 2015
Aug 15, 2014$455M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2015
Aug 15, 20140 then
Employees (5.A)21 as of Mar 16, 2015
Aug 15, 201432 then
Private funds: no history
Practice profile
derived from the filing of Mar 16, 2015; 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
- $148MderivedRAUM 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
- 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, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• E•••• P•••••• R•••• · Chief Executive Officercontrolsince 05/2013 · owns less than 5%
- B•••••• D••••• J••• · Directorcontrolsince 10/2012 · owns less than 5%
- C••••••• J•••••••• J•••• O•••••• · Non-Executive Director Of C•••controlsince 02/2006 · owns less than 5%
- K•••••••• A•••••••• · Independent Non-Executive Director Of C•••controlsince 06/2012 · owns less than 5%
- T••••••••• I•• · Directorcontrolsince 10/2011 · owns less than 5%
- W••••••• B••••• C•••••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
Entity owners
- C•••••• C••••• H••••••• L•••••• · Shareholderdirect · owns 75% or more
- B•••• G••••• M•••••• L•••••• · Shareholderindirect · owns 75% or more of G••••• • I••••••••• P••••••• T•••••• P••
- B•••• I••••••••• M••••••••• L•••••• · Shareholderindirect · owns 75% or more of C•• I••••••••• H••••••• L••••••
- B•••• L•••••• · Shareholderindirect · owns 75% or more of B•••• G••••• M•••••• L•••••• · public reporting company
- C•• I••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• C••••• C•••••• G•••• L•••••• •••••
- C•••••• C••••• C•••••• G•••• L•••••• ••••• · Shareholderindirect · owns 75% or more of C•••••• C••••• H••••••• L••••••
- G••••• • I••••••••• P••••••• T•••••• P•• · Shareholderindirect · owns 75% or more of B•••• I••••••••• M••••••••• 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 1Aug 15, 2014 to Mar 16, 2015
- Advisory employees · 9 to 2Aug 15, 2014 to Mar 16, 2015
- Employees · 32 to 21Aug 15, 2014 to Mar 16, 2015
- Discretionary RAUM · $455M to $148MAug 15, 2014 to Mar 16, 2015
- RAUM · $455M to $148MAug 15, 2014 to Mar 16, 2015
Signals
1 dated events
- C•••••• C••••• C•••••• L•••••• filed its initial SEC registration (Form ADV)Aug 15, 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