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••••••••• M••••••••• L••

Former SEC-registered adviserWestport, ConnecticutCRD 172584SEC 801-80244IAPD
Latest filing Sep 12, 2016
First filing on the tape Aug 18, 2014 · 15 filings
RAUM
$150,000
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.1M gross assets
History
15 filings and snapshots on the tape
RAUM$104M as of Mar 30, 2016
Mar 24, 2015$125M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2016
Mar 24, 20152 then
Employees (5.A)5 as of Mar 30, 2016
Mar 24, 20154 then
Private funds1 as of Mar 30, 2016
Mar 24, 20151 then
RAUM -100% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Sep 12, 2016; every figure names its basis
RAUM per advisor
$150,000derivedRAUM 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
$150,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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 assets, hourlyreportedItem 5.E
Advisory activities
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
  • 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, hourlyreported
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
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
O•• R••• E••••• I••••••••• F•••• L••Real Estate Fund$3.1M18Oct 25, 2013
Owners and control persons
Schedule A and B, latest filing
  • N••••••• H•••••• J•••• · Managing Membercontrol
    since 07/2014 · owns 25% to 50%
  • O••••• E•••• L••• · Managing Member, Chief Compliance Officercontrol
    since 07/2014 · owns 25% to 50%
  • S•••• C••••••••• M••••• · Managing Membercontrol
    since 07/2014 · owns 25% to 50%
  • O••••• M••••••• K••••• · Chief Operating Officer
    since 01/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • ,
What changed
consecutive filings, newest first
  • Accounts · unset to 1.0
    Sep 6, 2016 to Sep 12, 2016
  • Discretionary RAUM · unset to 150000.0
    Sep 6, 2016 to Sep 12, 2016
  • Non-discretionary RAUM · unset to 0.0
    Sep 6, 2016 to Sep 12, 2016
  • RAUM · unset to 150000.0
    Sep 6, 2016 to Sep 12, 2016
  • Accounts · 3.0 to unset
    Mar 30, 2016 to Jul 11, 2016
  • Employees · 5 to 4
    Mar 30, 2016 to Jul 11, 2016
  • State-registered IARs · 2 to 1
    Mar 30, 2016 to Jul 11, 2016
  • Discretionary RAUM · 0.0 to unset
    Mar 30, 2016 to Jul 11, 2016
  • Non-discretionary RAUM · 103866486.0 to unset
    Mar 30, 2016 to Jul 11, 2016
  • RAUM · 103866486.0 to unset
    Mar 30, 2016 to Jul 11, 2016
  • Accounts · 4 to 3
    Mar 24, 2015 to Mar 30, 2016
  • Employees · 4 to 5
    Mar 24, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $125M to $104M
    Mar 24, 2015 to Mar 30, 2016
  • RAUM · $125M to $104M
    Mar 24, 2015 to Mar 30, 2016
  • Accounts · 3 to 4
    Nov 17, 2014 to Mar 24, 2015
  • Employees · 5 to 4
    Nov 17, 2014 to Mar 24, 2015
  • Non-discretionary RAUM · $107M to $125M
    Nov 17, 2014 to Mar 24, 2015
  • RAUM · $107M to $125M
    Nov 17, 2014 to Mar 24, 2015
  • BD registered reps · 1 to 0
    Sep 23, 2014 to Nov 10, 2014
  • Employees · 3 to 5
    Sep 23, 2014 to Nov 10, 2014
  • Insurance-licensed employees · 1 to 0
    Sep 23, 2014 to Nov 10, 2014
  • Non-discretionary RAUM · $70.0M to $107M
    Sep 23, 2014 to Nov 10, 2014
  • RAUM · $70.0M to $107M
    Sep 23, 2014 to Nov 10, 2014
  • Related adviser · true to false
    Sep 23, 2014 to Nov 10, 2014
Signals
1 dated events
  • C••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 18, 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
Across the graphs

C••••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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