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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••• A•••••• S•••••••• L••

Former SEC-registered adviserPittsford, New YorkCRD 173671SEC 801-80685IAPD
Latest filing Feb 21, 2018
First filing on the tape Nov 26, 2014 · 13 filings
RAUM
$54.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$52.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$54.6M as of Jan 31, 2018
Mar 28, 2016$40.4M then
HNW client RAUM: $6.3M
State-registered IARs (5.B.3)1 as of Jan 31, 2018
Mar 28, 20160 then
Employees (5.A)1 as of Jan 31, 2018
Mar 28, 20164 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Feb 21, 2018; every figure names its basis
RAUM per advisor
$27.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
197derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$137,220derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+21%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$46.5M85%
  • High-net-worth individuals$6.3M11%
  • Corporations and businesses$1.9M3.4%
Individual clients
390reported
HNW clients
4reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
398reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• M••••••• J••••• · Chief Compliance Officer And Managing Membercontrol
        since 09/2014 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••• A••••••••• S•••••••• I••
        insurancen
      • C•••••• F•••••••• S•••••••• I•••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      • Nokomis, FL1 employees
      • Pittsford, NY1 employees
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 2
        Feb 2, 2018 to Feb 21, 2018
      • Advisory employees · 1 to 2
        Jan 31, 2018 to Feb 2, 2018
      • Employees · 1 to 2
        Jan 31, 2018 to Feb 2, 2018
      • State-registered IARs · 1 to 2
        Jan 31, 2018 to Feb 2, 2018
      • Accounts · 565 to 398
        Sep 19, 2017 to Jan 31, 2018
      • Charity clients · unset to 0.0
        Sep 19, 2017 to Jan 31, 2018
      • Corporate clients · unset to 4.0
        Sep 19, 2017 to Jan 31, 2018
      • HNW clients · unset to 4.0
        Sep 19, 2017 to Jan 31, 2018
      • Individual clients · unset to 390.0
        Sep 19, 2017 to Jan 31, 2018
      • Pension plan clients · unset to 0.0
        Sep 19, 2017 to Jan 31, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 19, 2017 to Jan 31, 2018
      • Employees · 4 to 1
        Sep 19, 2017 to Jan 31, 2018
      • Other offices · unset to 2.0
        Sep 19, 2017 to Jan 31, 2018
      • Discretionary RAUM · $45.3M to $54.6M
        Sep 19, 2017 to Jan 31, 2018
      • HNW RAUM · unset to 6277422.0
        Sep 19, 2017 to Jan 31, 2018
      • Individual RAUM · unset to 46470868.0
        Sep 19, 2017 to Jan 31, 2018
      • Pension RAUM · unset to 0.0
        Sep 19, 2017 to Jan 31, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Sep 19, 2017 to Jan 31, 2018
      • RAUM · $45.3M to $54.6M
        Sep 19, 2017 to Jan 31, 2018
      • Accounts · 585 to 565
        Sep 8, 2016 to Mar 15, 2017
      • Employees · 3 to 4
        Sep 8, 2016 to Mar 15, 2017
      • HQ city · NOKOMIS to PITTSFORD
        Sep 8, 2016 to Mar 15, 2017
      • HQ state · FL to NY
        Sep 8, 2016 to Mar 15, 2017
      • State-registered IARs · 0 to 1
        Sep 8, 2016 to Mar 15, 2017
      • Discretionary RAUM · $40.4M to $45.3M
        Sep 8, 2016 to Mar 15, 2017
      • RAUM · $40.4M to $45.3M
        Sep 8, 2016 to Mar 15, 2017
      • Related adviser · true to false
        Sep 8, 2016 to Mar 15, 2017
      • HQ city · PITTSFORD to NOKOMIS
        Apr 20, 2016 to Sep 8, 2016
      • HQ state · NY to FL
        Apr 20, 2016 to Sep 8, 2016
      • Employees · 4 to 3
        Mar 28, 2016 to Apr 20, 2016
      • Accounts · 504 to 585
        Feb 22, 2016 to Mar 28, 2016
      • Discretionary RAUM · $40.5M to $40.4M
        Feb 22, 2016 to Mar 28, 2016
      • RAUM · $40.5M to $40.4M
        Feb 22, 2016 to Mar 28, 2016
      • RAUM · $0 to $40.5M
        Nov 26, 2014 to May 1, 2015
      • Accounts · 0 to 504
        Nov 26, 2014 to May 1, 2015
      • Discretionary RAUM · $0 to $40.5M
        Nov 26, 2014 to May 1, 2015
      Signals
      1 dated events
      • C•••••• A•••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 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