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••• L•••••••
Legal name C•••• J• L••••••• L••
Latest filing Apr 1, 2025
First filing on the tape Dec 18, 2014 · 30 filings
SEC status approved since Jan 8, 2015
RAUM
$591M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$479M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$591M as of Apr 1, 2025
Apr 23, 2015$317M then
HNW client RAUM$479M as of Apr 1, 2025
Mar 29, 2018$367M then
State-registered IARs (5.B.3)0 as of Apr 1, 2025
Apr 23, 20150 then
Employees (5.A)7 as of Apr 1, 2025
Apr 23, 20158 then
Private funds: no history
RAUM +22% over the last fiscal year+2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2025; 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
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%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
- +22%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $591M, 386 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$479M81%
- Corporations and businesses$76.7M13%
- Charitable organizations$25.2M4.3%
- Pension and profit-sharing plans$10.7M1.8%
- Individual clients
- n/areported
- HNW clients
- 344reported
- Pension plan clients
- 10reported
- Charitable clients
- 6reported
- Accounts
- 386reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $142M managedreported
- Custody of client assets
- $591M for 386 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- D•••• J• G•••••••• to W•••••• B•••• • C•••••• L•••••Jul 16, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• E•••••• T••••••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
- K••••• B•••••••• N•• · Ceo/Managing Membercontrolsince 11/2014 · owns 75% or more
- M••••• J••••• E••••• · Chairmancontrolsince 11/2014 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 400 to 386Oct 3, 2024 to Apr 1, 2025
- Corporate clients · 25 to 26Oct 3, 2024 to Apr 1, 2025
- HNW clients · 359 to 344Oct 3, 2024 to Apr 1, 2025
- Assets in custody · $379M to $591MOct 3, 2024 to Apr 1, 2025
- Discretionary RAUM · $483M to $591MOct 3, 2024 to Apr 1, 2025
- HNW RAUM · $396M to $479MOct 3, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $1.2M to $0Oct 3, 2024 to Apr 1, 2025
- Pension RAUM · $8.5M to $10.7MOct 3, 2024 to Apr 1, 2025
- RAUM · $485M to $591MOct 3, 2024 to Apr 1, 2025
- Wrap assets (manager) · $146M to $142MOct 3, 2024 to Apr 1, 2025
- Assets in custody · unset to 378685450.0Apr 9, 2024 to Sep 30, 2024
- Custody of client assets · false to trueApr 9, 2024 to Sep 30, 2024
- Wrap assets (manager) · $355M to $146MMar 29, 2024 to Apr 9, 2024
- Accounts · 365 to 400Mar 30, 2023 to Mar 29, 2024
- Corporate clients · 28 to 25Mar 30, 2023 to Mar 29, 2024
- HNW clients · 321 to 359Mar 30, 2023 to Mar 29, 2024
- Employees · 8 to 7Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $409M to $483MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $338M to $396MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $1.2MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $7.2M to $8.5MMar 30, 2023 to Mar 29, 2024
- RAUM · $409M to $485MMar 30, 2023 to Mar 29, 2024
- Wrap assets (manager) · $124M to $355MMar 30, 2023 to Mar 29, 2024
- Accounts · 359 to 365Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 8 to 3Mar 31, 2022 to Mar 30, 2023
- Charity clients · 7 to 6Mar 31, 2022 to Mar 30, 2023
- Corporate clients · 26 to 28Mar 31, 2022 to Mar 30, 2023
- HNW clients · 316 to 321Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $554M to $409MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $428M to $338MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.9M to $0Mar 31, 2022 to Mar 30, 2023
- Pension RAUM · $9.6M to $7.2MMar 31, 2022 to Mar 30, 2023
- RAUM · $556M to $409MMar 31, 2022 to Mar 30, 2023
- Wrap assets (manager) · $127M to $124MMar 31, 2022 to Mar 30, 2023
- Accounts · 414 to 359Mar 31, 2021 to Mar 31, 2022
- Charity clients · 6 to 7Mar 31, 2021 to Mar 31, 2022
- Corporate clients · unset to 26.0Mar 31, 2021 to Mar 31, 2022
- HNW clients · 414 to 316Mar 31, 2021 to Mar 31, 2022
- Pension plan clients · 11 to 10Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $590M to $554MMar 31, 2021 to Mar 31, 2022
Signals
5 dated events
- C••• L••••••• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $591.5M)Aug 1, 2025 · Left the SEC roster · derived
- D•••• J• G•••••••• left C••• L••••••• for W•••••• B•••• • C•••••• L••••• (registered 2021-04-29)Jul 16, 2025 · Advisor changed firm · fact
- C••• L••••••• reported RAUM $409.1M, down 26% from $556.4M (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- J David Gallacher (Senior Managing Director) no longer on Schedule A of C••• L••••••• (listed 2020-12-09, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- C•••• J• L••••••• L•• filed its initial SEC registration (Form ADV)Dec 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