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•••••••• I••••••••• M••••••••• L••
Latest filing May 4, 2026
First filing on the tape Jun 26, 2019 · 14 filings
SEC status approved since Jul 24, 2019
RAUM
$1.5B
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
39
31 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
2
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.5B as of May 4, 2026
Mar 30, 2020$191M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 30, 20200 then
Employees (5.A)39 as of May 4, 2026
Mar 30, 20208 then
Private funds2 as of May 4, 2026
Mar 30, 20201 then
RAUM +35% over the last fiscal year+31% a year over threeIARs 0 to 0offices 4 to 5
Practice profile
derived from the filing of May 4, 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
- $490MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.5B, 3 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 3 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=0.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• E••••••••• L••• F•••• L••• | Hedge Fund | $701M | 216 | Mar 30, 2015 |
| C••• S••••••• I• O• C•••••••• E• C••••• F••• S•••••• S••••••••• | Hedge Fund | $192M | 88 | Apr 1, 2022 |
| C•••••••• F•••••• S••••••••• F•••• L•••no longer reported | Hedge Fund | $9.7M | 1 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- H•••• J••••• A•••••• · Managing Membercontrolsince 10/2013 · owns 25% to 50%
- H•••••••• M••••••• G••• · Membercontrolsince 05/2018 · owns 25% to 50%
- K••••••••• V•••• · Coocontrolsince 08/2023 · owns less than 5%
- L•••••• D•••••• J••••••• · G•••••• Counsel; Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
Entity owners
- S•• P•••••••• L•• · G•••••• Partnerindirect · owns F of S••••••••• I•••••••• F•••• L•
- S••••••••• I•••••••• F•••• L• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C•• G• L••pooled vehicle sponsorn
- C•••••••• E• G• L••pooled vehicle sponsorn
- C•••••••• E• G• S• A• R••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Usaquen, Bogota, Colombia3 employees
- Zurich, Switzerland
What changed
consecutive filings, newest first
- Advisory employees · 27 to 31May 13, 2025 to Mar 30, 2026
- Assets in custody · $1.1B to $1.5BMay 13, 2025 to Mar 30, 2026
- Employees · 35 to 39May 13, 2025 to Mar 30, 2026
- Other offices · 4 to 5May 13, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.1B to $1.5BMay 13, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.1B to $1.5BMay 13, 2025 to Mar 30, 2026
- RAUM · $1.1B to $1.5BMay 13, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 13, 2025
- Advisory employees · 19 to 27Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $892M to $1.1BMar 29, 2024 to Mar 31, 2025
- Employees · 25 to 35Mar 29, 2024 to Mar 31, 2025
- Other offices · 2 to 4Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $892M to $1.1BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $892M to $1.1BMar 29, 2024 to Mar 31, 2025
- RAUM · $892M to $1.1BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 13 to 19Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $656M to $892MMar 31, 2023 to Mar 29, 2024
- Employees · 17 to 25Mar 31, 2023 to Mar 29, 2024
- Other offices · 0 to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $656M to $892MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $656M to $892MMar 31, 2023 to Mar 29, 2024
- RAUM · $656M to $892MMar 31, 2023 to Mar 29, 2024
- Accounts · 4 to 3Apr 1, 2022 to Mar 31, 2023
- Advisory employees · 15 to 13Apr 1, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 3Apr 1, 2022 to Mar 31, 2023
- Assets in custody · $488M to $656MApr 1, 2022 to Mar 31, 2023
- Employees · 19 to 17Apr 1, 2022 to Mar 31, 2023
- Private funds · 3 to 2Apr 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $488M to $656MApr 1, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $488M to $656MApr 1, 2022 to Mar 31, 2023
- RAUM · $488M to $656MApr 1, 2022 to Mar 31, 2023
- Accounts · 2 to 4Mar 31, 2021 to Apr 1, 2022
- Advisory employees · 8 to 15Mar 31, 2021 to Apr 1, 2022
- Pooled vehicle clients · 2 to 4Mar 31, 2021 to Apr 1, 2022
- Assets in custody · $205M to $488MMar 31, 2021 to Apr 1, 2022
- Employees · 12 to 19Mar 31, 2021 to Apr 1, 2022
- Private funds · 2 to 3Mar 31, 2021 to Apr 1, 2022
- Discretionary RAUM · $205M to $488MMar 31, 2021 to Apr 1, 2022
- Pooled vehicle RAUM · $205M to $488MMar 31, 2021 to Apr 1, 2022
- RAUM · $205M to $488MMar 31, 2021 to Apr 1, 2022
Signals
7 dated events
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $1.5B, up 35% from $1.1B (2025-05-13 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $892.3M, up 36% from $655.8M (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Vivek Krishnappa (Coo) appeared on Schedule A of C•••••••• I••••••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $655.8M, up 34% from $487.7M (2022-04-01 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $487.7M, up 138% from $205.2M (2021-03-31 to 2022-04-01)Apr 1, 2022 · RAUM change · derived
- Jonathan Dryden Liddle (General Counsel; Chief Compliance Officer) appeared on Schedule A of C•••••••• I••••••••• M••••••••• L••Sep 27, 2019 · Control person joined · fact
- C•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••••• I••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- CIM-LLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-857-3233reportedpublic record, Form ADV, May 4, 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