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••••••••• T••••••• C•••••• •••• L••
Latest filing Dec 17, 2014
First filing on the tape Dec 9, 2014 · 2 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
14 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$0 as of Dec 17, 2014
Dec 9, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 17, 2014
Dec 9, 20140 then
Employees (5.A)18 as of Dec 17, 2014
Dec 9, 201418 then
Private funds: no history
Practice profile
derived from the filing of Dec 17, 2014; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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 businesses and institutions, 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)
- 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
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
- 0reported
- 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
- B••••••• M•••• R••••• · Chief Compliance Officer/Head Of Global Risk And Compliancecontrolsince 11/2014 · owns less than 5%
- K••••••••• P••••• · Head Of Retail And Member Of The Executive Committeecontrolsince 11/2014 · owns less than 5%
- L••••••••• K•••• F•••••• · Chief Investment Officercontrolsince 11/2014 · owns less than 5%
- M•••••• C••••••• G••••• · Directorcontrolsince 12/2104 · owns less than 5%
- P•••••• A••••• C••••••• · Chief Executive Officer/Director And Member Of The Executive Committeecontrolsince 11/2014 · owns less than 5%
- S••••• L•••••••• · Chief Operating Officer And Member Of The Executive Committeecontrolsince 11/2014 · owns less than 5%
- S•••••• J•••• A••••• · Chief Financial Officer/Directorcontrolsince 11/2014 · owns less than 5%
- T••••••• K•••••• •••• · Head Of Institutional Business And Member Of The Executive Committeecontrolsince 11/2014 · owns less than 5%
Entity owners
- C••••••••• I••••••••• M••••••••• •••• L•• · Shareholderdirect · owns 75% or more
- C••••••••• F••• M••••••• L•• · Holding Company (Listed In The Johannesburg Stock Exchange)indirect · owns 75% or more of C••••••••• I••••••••• M••••••••• •••• L••
Related persons
Schedule D 7.A
- C•• •••• O• M••• L••pooled vehicle sponsorn
- C••••••••• A•••• M••••••••• P••••••••• L••investment adviseryRAUM $28B
- C••••••••• F••• M••••••• ••••••••• •••• L••investment advisern
- C••••••••• F••• M••••••• L••pooled vehicle sponsory
- C••••••••• G••••• F••• M••••••• •••••••• L••••••investment adviserbankpooled vehicle sponsornRAUM $9.9B
- C••••••••• I••••••••• L••••••investment advisern
- C••••••••• I••••••••• M••••••••• •••• L••pooled vehicle sponsory
- C••••••••• I••••••••• S••••••• •••• L••pooled vehicle sponsorn
- C••••••••• L••• A•••••••• C•••••• L••••••real estaten
- C••••••••• M••••••••• C•••••• ••• •••• L••pooled vehicle sponsorn
- N•••••• A••••• M••••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- C••••••••• T••••••• C•••••• •••• L•• filed its initial SEC registration (Form ADV)Dec 9, 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