DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• I••••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Feb 16, 2015 · 15 filings
SEC status approved since Mar 9, 2015
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$202M 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
0
beyond the principal office
Private funds
2
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$262M as of Feb 10, 2026
Mar 19, 2016$29.1M then
HNW client RAUM$202M as of Feb 10, 2026
Mar 9, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 10, 2026
Mar 19, 20160 then
Employees (5.A)2 as of Feb 10, 2026
Mar 19, 20162 then
Private funds2 as of Feb 10, 2026
Mar 19, 20161 then
RAUM +20% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $9.2MderivedHNW RAUM over HNW clients
- Average account
- $8.2MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, otherreportedItem 5.G
- Custody
- $19.1M, 6 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$202M77%
- Corporations and businesses$35.5M14%
- Pooled investment vehicles$24.4M9.3%
- Individual clients
- 0reported
- HNW clients
- 22reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.1M for 6 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.77 fund_share=0.09 institutional_share=0.0 related_bd=false related_bank=false 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• F••••• L• | Hedge Fund | $12.2M | 13 | Feb 16, 2015 |
| C••••• P••• F•••• L• | Hedge Fund | $1.1M | 3 | Mar 11, 2021 |
Owners and control persons
Schedule A and B, latest filing
- W•••• H••••• · Member, Co-Chief Investment Officer And Chief Executive Officercontrolsince 12/2023 · owns 50% to 75%
- W•• W•••••• · Member, Co-Chief Investment Officer And Chief Compliance Officercontrolsince 12/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $219M to $262MMar 24, 2025 to Feb 10, 2026
- Accounts · 29 to 32Mar 24, 2025 to Feb 10, 2026
- Corporate clients · unset to 6.0Mar 24, 2025 to Feb 10, 2026
- HNW clients · 21 to 22Mar 24, 2025 to Feb 10, 2026
- Assets in custody · $14.5M to $19.1MMar 24, 2025 to Feb 10, 2026
- Discretionary RAUM · $219M to $262MMar 24, 2025 to Feb 10, 2026
- HNW RAUM · $179M to $202MMar 24, 2025 to Feb 10, 2026
- Pooled vehicle RAUM · $15.4M to $24.4MMar 24, 2025 to Feb 10, 2026
- Accounts · 24 to 29Mar 13, 2024 to Mar 24, 2025
- Advisory activities · 4 to 5Mar 13, 2024 to Mar 24, 2025
- HNW clients · 18 to 21Mar 13, 2024 to Mar 24, 2025
- Pooled vehicle clients · 3 to 4Mar 13, 2024 to Mar 24, 2025
- Assets in custody · $13.8M to $14.5MMar 13, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 24, 2025
- HQ city · unset to Mar 13, 2024 to Mar 24, 2025
- HQ state · unset to Mar 13, 2024 to Mar 24, 2025
- Discretionary RAUM · $187M to $219MMar 13, 2024 to Mar 24, 2025
- HNW RAUM · $150M to $179MMar 13, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $13.8M to $15.4MMar 13, 2024 to Mar 24, 2025
- RAUM · $187M to $219MMar 13, 2024 to Mar 24, 2025
- Accounts · 23 to 24Mar 27, 2023 to Mar 13, 2024
- Assets in custody · $12.7M to $13.8MMar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $167M to $187MMar 27, 2023 to Mar 13, 2024
- HNW RAUM · $138M to $150MMar 27, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $13.7M to $13.8MMar 27, 2023 to Mar 13, 2024
- RAUM · $167M to $187MMar 27, 2023 to Mar 13, 2024
- Accounts · 15 to 23Mar 29, 2022 to Mar 27, 2023
- HNW clients · 9 to 18Mar 29, 2022 to Mar 27, 2023
- Assets in custody · $20.1M to $12.7MMar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $210M to $167MMar 29, 2022 to Mar 27, 2023
- HNW RAUM · $171M to $138MMar 29, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $20.0M to $13.7MMar 29, 2022 to Mar 27, 2023
- RAUM · $210M to $167MMar 29, 2022 to Mar 27, 2023
- Accounts · 6 to 15Mar 11, 2021 to Mar 29, 2022
- HNW clients · 0 to 9Mar 11, 2021 to Mar 29, 2022
- Pooled vehicle clients · 2 to 3Mar 11, 2021 to Mar 29, 2022
- Assets in custody · $11.3M to $20.1MMar 11, 2021 to Mar 29, 2022
- Discretionary RAUM · $51.8M to $210MMar 11, 2021 to Mar 29, 2022
- HNW RAUM · $110,534 to $171MMar 11, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $11.2M to $20.0MMar 11, 2021 to Mar 29, 2022
Signals
2 dated events
- C••••• I••••••••• L•• reported RAUM $209.6M, up 305% from $51.8M (2021-03-11 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- C••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 2015 · 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
- Business phone
- 302-319-3659reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 302-319-3659reportedpublic record, Form ADV, Feb 10, 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
- Independent wealth managerderiveda 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