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
C•• F••• A••••••• I•• L••
Latest filing Jun 30, 2026
First filing on the tape Jan 23, 2015 · 17 filings
SEC status approved since Feb 5, 2015
RAUM
$19.9M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$19.9M as of Jun 30, 2026
Mar 31, 2016$2,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 30, 2026
Mar 31, 20168 then
Employees (5.A)6 as of Jun 30, 2026
Mar 31, 201623 then
Private funds1 as of Jun 30, 2026
Apr 17, 20251 then
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
- RAUM per advisor
- $10.0MderivedRAUM 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
- $19.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $19.9M, 1 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
- 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)
- 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
- Pooled investment vehicles$19.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.9M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• C•••••• J••••••••• · Chief Financial Officer, Chief Operating Officercontrolsince 01/2017 · owns less than 5%
- Y•••••• B••••••• S•••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- S•••••• J••••• M••••• · 100% M•••••controlsince 11/2008 · owns 75% or more of C•• H•••••••• L••
Entity owners
- C•• F•••••••• G•••• I••••••••• M••••••••• L•• · Direct Owner - Votingdirect · owns 75% or more
- C•• I• I••• · 100% Shareholderindirect · owns 75% or more of C•• F•••••••• G••••• L••
- C•• X••• I••• · 100% Shareholderindirect · owns 75% or more of C•• S•••••••• C•••••• M••••••••• L••
- C•• X•••• I••• · 100% Shareholderindirect · owns 75% or more of C•• S•••••••• A•••• M••••••••• L••
- C•• F•••••••• G••••• L•• · 100% Shareholder (99% Non-Voting; 1% Voting)indirect · owns 75% or more of C•• X••• I•••
- C•• F•••••••• G••••• L•• · 100% Shareholder (99% Non-Voting; 1% Voting)indirect · owns 75% or more of C•• H••••••••• C••••
- C•• F•••••••• G••••• L•• · 100% Shareholder 99% Non Voting 1 % Votingindirect · owns 75% or more of C•• X•••• I•••
- C•• H•••••••• L•• · 100% M•••••indirect · owns 75% or more of C•• F•••••••• G••••• L••
- C•••• H•••••• C•••• · Class A Shareholder - Less Than 25%indirect · owns F of C•• F•••••••• G•••• I••••••••• M••••••••• L••
- C•• F•••••••• G•••• I•• · Class A Shareholder-Less Than 25%indirect · owns F of C•• F•••••••• G•••• I••••••••• M••••••••• L••
- C•• H••••••••• C•••• · Class A Shareholder - Less Than 25%indirect · owns F of C•• F•••••••• G•••• I••••••••• M••••••••• L••
- C•• S•••••••• A•••• M••••••••• L•• · Class A Shareholder-Less Than 25%indirect · owns F of C•• F•••••••• G•••• I••••••••• M••••••••• L••
- C•• S•••••••• C•••••• M••••••••• L•• · Class A Shareholder - Less Than 25%indirect · owns F of C•• F•••••••• G•••• I••••••••• M••••••••• L••
Related persons
Schedule D 7.A
- C•• E••••••••• I••••••••• L••investment advisern
- C•• F•••••••• G••••• I•••n
- C•• F•••••••• G••••• L••pooled vehicle sponsory
- C•• F••• A••••••• C••••••investment advisern
- C•• G••••• P••••••••• I•• M•••••• L••pooled vehicle sponsorn
- C•• H••••••••• C••••investment advisern
- C•• S••••••••• C••••broker-dealern
- C•• S•••••••• A•••• M••••••••• L••investment advisernRAUM $4.4M
- C•• S•••••••• C•••••• M••••••••• L••investment advisernRAUM $1.5B
Advisers that list C•• F••• A••••••• I•• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $19.9M to $19.9MMar 25, 2026 to Jun 30, 2026
- Discretionary RAUM · $19.9M to $19.9MMar 25, 2026 to Jun 30, 2026
- Pooled vehicle RAUM · $19.9M to $19.9MMar 25, 2026 to Jun 30, 2026
- RAUM · $19.9M to $19.9MMar 25, 2026 to Jun 30, 2026
- Accounts · 0 to 1Apr 17, 2025 to Mar 25, 2026
- Assets in custody · $0 to $19.9MApr 17, 2025 to Mar 25, 2026
- Discretionary RAUM · $0 to $19.9MApr 17, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $0 to $19.9MApr 17, 2025 to Mar 25, 2026
- RAUM · $0 to $19.9MApr 17, 2025 to Mar 25, 2026
- Accounts · unset to 0.0Mar 29, 2024 to Apr 17, 2025
- Advisory employees · 0 to 3Mar 29, 2024 to Apr 17, 2025
- BD registered reps · 1 to 2Mar 29, 2024 to Apr 17, 2025
- Pooled vehicle clients · unset to 1.0Mar 29, 2024 to Apr 17, 2025
- Assets in custody · unset to 0.0Mar 29, 2024 to Apr 17, 2025
- Custody of client assets · false to trueMar 29, 2024 to Apr 17, 2025
- Employees · 2 to 6Mar 29, 2024 to Apr 17, 2025
- Insurance-licensed employees · 1 to 2Mar 29, 2024 to Apr 17, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 17, 2025
- State-registered IARs · 1 to 2Mar 29, 2024 to Apr 17, 2025
- Private funds · unset to 1Mar 29, 2024 to Apr 17, 2025
- Discretionary RAUM · unset to 0.0Mar 29, 2024 to Apr 17, 2025
- Non-discretionary RAUM · unset to 0.0Mar 29, 2024 to Apr 17, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 29, 2024 to Apr 17, 2025
- RAUM · unset to 0.0Mar 29, 2024 to Apr 17, 2025
- BD registered reps · 0 to 1Mar 26, 2021 to Mar 31, 2022
- Employees · 1 to 2Mar 26, 2021 to Mar 31, 2022
- Insurance-licensed employees · 0 to 1Mar 26, 2021 to Mar 31, 2022
- State-registered IARs · 0 to 1Mar 26, 2021 to Mar 31, 2022
- Employees · 0 to 1Mar 27, 2020 to Mar 26, 2021
- BD registered reps · 1 to 0Jul 25, 2019 to Mar 27, 2020
- Employees · 5 to 0Jul 25, 2019 to Mar 27, 2020
- Insurance-licensed employees · 3 to 0Jul 25, 2019 to Mar 27, 2020
- State-registered IARs · 3 to 0Jul 25, 2019 to Mar 27, 2020
- Accounts · 1.0 to unsetApr 26, 2018 to Mar 28, 2019
- Advisory employees · 2 to 0Apr 26, 2018 to Mar 28, 2019
- Financial planning clients · 1-10 to unsetApr 26, 2018 to Mar 28, 2019
- Discretionary RAUM · 79967493.0 to unsetApr 26, 2018 to Mar 28, 2019
- Non-discretionary RAUM · 0.0 to unsetApr 26, 2018 to Mar 28, 2019
- RAUM · 79967493.0 to unsetApr 26, 2018 to Mar 28, 2019
- Advisory employees · 4 to 2Mar 30, 2017 to Mar 29, 2018
Signals
3 dated events
- Scott Bradley Yochum (Chief Compliance Officer) appeared on Schedule A of C•• F••• A••••••• I•• L••Mar 27, 2020 · Control person joined · fact
- Lynn Susan Terenzio (Cco And Secretary) no longer on Schedule A of C•• F••• A••••••• I•• L•• (listed 2019-07-25, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- C•• F••• A••••••• I•• L•• filed its initial SEC registration (Form ADV)Jan 23, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•• F••• A••••••• I•• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 407-650-1000reportedpublic record, Form ADV, Jun 30, 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