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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SEC-registered adviser
P•• I••••••••• C•••••• L•••
Latest filing Jun 26, 2026
First filing on the tape Dec 4, 2014 · 18 filings
SEC status approved since Jan 2, 2015
RAUM
$924M
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
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$924M as of Jun 26, 2026
Mar 30, 2016$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Mar 30, 20160 then
Employees (5.A)10 as of Jun 26, 2026
Mar 30, 20167 then
Private funds1 as of Jun 26, 2026
Mar 30, 20161 then
RAUM +31% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2026; 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
- $132MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%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
- +31%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$828M90%
- Pooled investment vehicles$52.8M5.7%
- Investment companies$41.2M4.5%
- Insurance companies$1.5M0.2%
- Corporations and businesses$443,6660.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=5.0derived
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 |
|---|---|---|---|---|
| P•• A••••••• R••••• F••• L• | Hedge Fund | $0 | 0 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• H••••• E•• · Portfolio Manager & Chief Compliance Officercontrolsince 05/2001 · owns less than 5%
- P•••••• A•••• T••• · Director & Presidentcontrolsince 08/2011 · owns less than 5%
- W••••• M••••••• J••• · Directorcontrolsince 07/2019 · owns less than 5%
- H••••••••• E•••• R•••• · Sn. Vice President,Co-Headsince 11/2014 · owns less than 5%
- M•••••• T••••••• M•••••• · Vice Presidentsince 08/2018 · owns less than 5%
- R•••••••• S••••••• E••••• · Vice Presidentsince 07/2017 · owns less than 5%
- R•••••••• J•••• W•••• · Sn. Vice President,Co-Headsince 03/2022 · owns less than 5%
- R••••••••• P••••••• D•••• · Corporate Secretarysince 12/2010 · owns less than 5%
- S••••••••• G•••• J• · Vice Presidentsince 11/2014 · owns less than 5%
Entity owners
- P•• I••••••••• C•••••• P••••••••• · P•••••••••direct · owns 75% or more
- C•••••• C•••• • L••• F•••••••• G•••• I••••••••• P••••••••• · Partnerindirect · owns 75% or more of C•••••• C•••• • L••• F•••••••• G•••• L•
- C•••••• C•••• • L••• F•••••••• G•••• L• · Partnerindirect · owns 50% to 75% of P•• I••••••••• C•••••• P•••••••••
- C•••••• C•••• • L••• F•••••••• G•••• L••• · Partnerindirect · owns 75% or more of C•••••• C•••• • L••• F•••••••• G•••• I••••••••• P•••••••••
Related persons
Schedule D 7.A
- C••••• C•••• • L••• I••••••••• M••••••••• L••investment adviserbanknRAUM $86B
- C•••••• C•••• • L••• ••••••• L•••investment advisern
- C•••••• C•••• • L••• F•••• I•••pooled vehicle sponsorn
- C•••••• C•••• • L••• P•••••• C•••••• L•••investment advisern
- C••••••••• A•••• M••••••••• L•••investment advisern
- F••••••• C•••••• L•investment advisernRAUM $513M
- G••••• A•••• C•••••• M••••••••• L•••investment advisernRAUM $6.3B
- N• P••••••• L••investment advisernRAUM $5.9B
- P•• A••••••• R••••• F••• G• L••pooled vehicle sponsorn
- S•••••• R•••••• • A••••••••• I••••••••• M••••••••• L•••investment advisern
- V•••••• A•••• M•••••••••investment adviserbanknRAUM $1.2B
Advisers that list P•• I••••••••• 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 · 8 to 7Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $704M to $924MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $59.2M to $52.8MMar 28, 2025 to Mar 31, 2026
- RAUM · $704M to $924MMar 28, 2025 to Mar 31, 2026
- Accounts · 9 to 8Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- HQ state · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $597M to $704MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $71.4M to $59.2MMar 28, 2024 to Mar 28, 2025
- RAUM · $597M to $704MMar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $552M to $597MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $74.1M to $71.4MMar 31, 2023 to Mar 28, 2024
- RAUM · $552M to $597MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $680M to $552MMar 29, 2022 to Mar 31, 2023
- Pension RAUM · 14850024.0 to unsetMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $81.3M to $74.1MMar 29, 2022 to Mar 31, 2023
- RAUM · $680M to $552MMar 29, 2022 to Mar 31, 2023
- Accounts · 11 to 9Oct 15, 2021 to Mar 29, 2022
- BD registered reps · 4 to 5Oct 15, 2021 to Mar 29, 2022
- Discretionary RAUM · $513M to $680MOct 15, 2021 to Mar 29, 2022
- Pension RAUM · $15.4M to $14.9MOct 15, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $52.9M to $81.3MOct 15, 2021 to Mar 29, 2022
- RAUM · $513M to $680MOct 15, 2021 to Mar 29, 2022
- Advisory employees · 5 to 9Mar 30, 2020 to Mar 29, 2021
- Advisory activities · 4 to 5Mar 30, 2020 to Mar 29, 2021
- BD registered reps · 0 to 4Mar 30, 2020 to Mar 29, 2021
- Pension plan clients · 1.0 to unsetMar 30, 2020 to Mar 29, 2021
- Pooled vehicle clients · 4 to 1Mar 30, 2020 to Mar 29, 2021
- Employees · 6 to 10Mar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $416M to $513MMar 30, 2020 to Mar 29, 2021
- Pension RAUM · $70.7M to $15.4MMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $157M to $52.9MMar 30, 2020 to Mar 29, 2021
- RAUM · $416M to $513MMar 30, 2020 to Mar 29, 2021
- Accounts · 12 to 11Mar 29, 2019 to Mar 30, 2020
- Advisory activities · 5 to 4Mar 29, 2019 to Mar 30, 2020
- Pension plan clients · unset to 1.0Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · unset to 4.0Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.5B to $416MMar 29, 2019 to Mar 30, 2020
- Pension RAUM · $48.6M to $70.7MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · unset to 156813724.0Mar 29, 2019 to Mar 30, 2020
Signals
8 dated events
- P•• I••••••••• C•••••• L••• reported RAUM $924.3M, up 31% from $704.0M (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Walter M•••••• Freund (Director) no longer on Schedule A of P•• I••••••••• C•••••• L••• (listed 2022-03-29, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- P•• I••••••••• C•••••• L••• reported RAUM $679.8M, up 33% from $512.7M (2021-10-15 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Giovanni Nereo Piticco (Director & President) no longer on Schedule A of P•• I••••••••• C•••••• L••• (listed 2021-03-29, absent 2021-10-15)Oct 15, 2021 · Control person left · inference
- P•• I••••••••• C•••••• L••• reported RAUM $416.4M, down 71% from $1.5B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- J••• M•••••• W•••• (Director) appeared on Schedule A of P•• I••••••••• C•••••• L•••Mar 30, 2020 · Control person joined · fact
- P•• I••••••••• C•••••• L••• reported RAUM $1.5B, down 32% from $2.1B (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- P•• I••••••••• C•••••• L••• filed its initial SEC registration (Form ADV)Dec 4, 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.
How to reach
public business contact points only, each with its source
- Website
- cclgroup.com/pcj/enreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 416-862-2020reportedpublic record, Form ADV, Jun 26, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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