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••••••• L••
Legal name N••••• C••••••••• L••
Latest filing Mar 28, 2019
First filing on the tape Oct 20, 2014 · 17 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
70%
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
14
3 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$1.1B as of Mar 28, 2019
Dec 17, 2015$1.1B then
HNW client RAUM$0 as of Mar 28, 2019
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Dec 17, 20150 then
Employees (5.A)14 as of Mar 28, 2019
Dec 17, 201514 then
Private funds: no history
RAUM -41% over the last fiscal year+1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
- $573MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 100%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
- -41%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $101,801, 1 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$1.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $101,801 for 1 clientsreported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• C•• I••••••••• L••no longer reported | Other Private Fund | $9.4M | 6 | Aug 9, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• K••••• · Member Of Board Of Directorscontrolsince 12/2016 · owns less than 5%
- C•••• C••••••••• · Chief Operating Officercontrolsince 09/2014 · owns less than 5%
- G•••• P••••••• J••• · Member Of Board Of Directorscontrolsince 12/2016 · owns less than 5%
- P••••• W••••••• M•••••• · Chief E•••••••• Officer And Member Of Board Of Directorscontrolsince 01/2009 · owns 10% to 25%
- R•••• J•••• H•••••• · Counsel, Chief Compliance Officer And Secretarycontrolsince 03/2017 · owns less than 5%
Entity owners
- N••••• A•••• M••••••••• L•• · Memberdirect · owns 75% or more
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of N••••• N•••• S•••••••• L•••
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••• L•
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••••• L•••
- G••••• G••• C•••••• O••••••••• F•••••• L••• · Memberindirect · owns 25% to 50% of N••••• N•••• B••••••• L••
- G••••• G••• C•••••• O••••••••• F•••• L• · Limited Partnerindirect · owns 50% to 75% of N••••• N•••• S•••••••• L•••
- N••••• F•••••••• G•••• G• L••• · General Partnerindirect · owns F of N••••• F•••••••• G••••• L•••
- N••••• F•••••••• G••••• L••• · Memberindirect · owns 75% or more of N••••• A•••• M••••••••• L••
- N••••• N•••• B••••••• L•• · Limited Partnerindirect · owns 25% to 50% of N••••• N•••• S•••••••• L•••
- N••••• N•••• S•••••••• L••• · Limited Partnerindirect · owns 75% or more of N••••• F•••••••• G••••• L•••
Related persons
Schedule D 7.A
- 1••• S••••••••• I••broker-dealern
- C••••••••• L••• I•••••••• C••••••real estaten
- G•• O••••••••• F••• M••••••••• L•investment adviserbankpooled vehicle sponsory
- G•••• C•••••••• M••••••••• L•••investment adviserpooled vehicle sponsorn
- G•••• E•••••••• C••••••••• L•••investment adviserpooled vehicle sponsorn
- G••••• G••• C••••••investment adviserbankpooled vehicle sponsornRAUM $11B
- M•••• R• L•••real estaten
- N••••• Global Credit LLCinvestment adviserbankpooled vehicle sponsornRAUM $6.4B
- N••••• L••• A•• A•••••• C••••••real estaten
- N••••• L••• I•••••••• C••••••real estaten
- N••••• L••• I•••••••• C•••••• O• K•••••real estaten
- N••••• P•••••• C••••• G• L••investment adviserbankpooled vehicle sponsorn
- N••••• P•••••• C••••• L••investment adviserbankpooled vehicle sponsornRAUM $1.0B
- N••••• R• •••••• B•••• L•••real estaten
- N••••• R• ••••••• L•••real estaten
- N•• C•• M•••••• L••investment adviserbankn
- P•• V••••••• I•••••••• C••••••real estaten
- S•••••• E••••• S•••••••• L••broker-dealern
Advisers that list C••••••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Aug 1, 2018 to Mar 28, 2019
- Assets in custody · $342,621 to $101,801Aug 1, 2018 to Mar 28, 2019
- Employees · 13 to 14Aug 1, 2018 to Mar 28, 2019
- Discretionary RAUM · $777M to $799MAug 1, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $1.2B to $347MAug 1, 2018 to Mar 28, 2019
- RAUM · $1.9B to $1.1BAug 1, 2018 to Mar 28, 2019
- Legal name · C••••••••• C••••••• L•• to N••••• C••••••••• LLCJun 8, 2018 to Aug 1, 2018
- Accounts · 4 to 3Aug 28, 2017 to Mar 28, 2018
- Advisory employees · 11 to 3Aug 28, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Corporate clients · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- HNW clients · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Individual clients · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Pension plan clients · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Assets in custody · unset to 342621.0Aug 28, 2017 to Mar 28, 2018
- Custody of client assets · false to trueAug 28, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Discretionary RAUM · $660M to $777MAug 28, 2017 to Mar 28, 2018
- HNW RAUM · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Individual RAUM · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $1.3B to $1.2BAug 28, 2017 to Mar 28, 2018
- Pension RAUM · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 28, 2017 to Mar 28, 2018
- RAUM · $1.9B to $1.9BAug 28, 2017 to Mar 28, 2018
- Accounts · 5 to 4Dec 23, 2016 to Mar 27, 2017
- Advisory employees · 10 to 11Dec 23, 2016 to Mar 27, 2017
- Employees · 12 to 13Dec 23, 2016 to Mar 27, 2017
- Discretionary RAUM · $0 to $660MDec 23, 2016 to Mar 27, 2017
- Non-discretionary RAUM · $1.3B to $1.3BDec 23, 2016 to Mar 27, 2017
- RAUM · $1.3B to $1.9BDec 23, 2016 to Mar 27, 2017
- Related bank · false to trueDec 23, 2016 to Mar 27, 2017
- Accounts · 8 to 5Sep 12, 2016 to Dec 23, 2016
- Advisory employees · 12 to 10Sep 12, 2016 to Dec 23, 2016
- Advisory activities · 2 to 1Sep 12, 2016 to Dec 23, 2016
- Assets in custody · 1103527.0 to unsetSep 12, 2016 to Dec 23, 2016
- Custody of client assets · true to falseSep 12, 2016 to Dec 23, 2016
- Employees · 14 to 12Sep 12, 2016 to Dec 23, 2016
- Private funds · 1 to unsetSep 12, 2016 to Dec 23, 2016
- Non-discretionary RAUM · $1.1B to $1.3BSep 12, 2016 to Dec 23, 2016
Signals
2 dated events
- C••••••••• C••••••• L•• reported RAUM $1.1B, down 41% from $1.9B (2018-08-01 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- C••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Oct 20, 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