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••••••••• M••••••••• G••••• L••
Latest filing Nov 16, 2017
First filing on the tape Jan 28, 2016 · 2 filings
RAUM
$28.4M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$38.2M gross assets
History
2 filings and snapshots on the tape
RAUM$28.4M as of Nov 16, 2017
Jan 28, 2016$69.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 16, 2017
Jan 28, 20160 then
Employees (5.A)3 as of Nov 16, 2017
Jan 28, 20163 then
Private funds2 as of Nov 16, 2017
Jan 28, 20162 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 16, 2017; 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
- $28.4MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $28.4M, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$28.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.4M for 1 clientsreported
- Compensation
- performancereported
- 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
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••••••••• L•• | Private Equity Fund | $28.4M | 34 | Jan 28, 2016 |
| C••••••••• A••• S•• | Private Equity Fund | $9.8M | 1 | Jan 28, 2016 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• J•••••• M•••••• · Chief Financial Officer And Chief Compliance Officercontrolsince 06/2015 · owns less than 5%
- D••••••••• E•••••• A•••••• · Member, Manager And Presidentcontrolsince 09/2014 · owns less than 5%
- K•••• Z••• · Member, Manager And Chief Executive Officercontrolsince 11/2013 · owns less than 5%
- D••••••••• E•••••• A•••••• · Shareholdercontrolsince 11/2013 · owns 25% to 50% of C••••••,Vc, Inc.
- K•••• Z••• · Shareholdercontrolsince 11/2013 · owns 25% to 50% of C••••••.Vc, Inc.
Entity owners
- C•••••• V•• I••• · Memberdirect · owns 75% or more
- S•••••• • W•••••• I••• · Shareholderindirect · owns 25% to 50% of C•••••• V•• I•••
Related persons
Schedule D 7.A
- C••••••••• M••••••••• G•••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Jan 28, 2016 to Nov 16, 2017
- BD registered reps · 2 to 1Jan 28, 2016 to Nov 16, 2017
- Pooled vehicle clients · unset to 1.0Jan 28, 2016 to Nov 16, 2017
- Assets in custody · $69.8M to $28.4MJan 28, 2016 to Nov 16, 2017
- Financial planning clients · unset to 0Jan 28, 2016 to Nov 16, 2017
- HQ city · NEW YORK to WEST ORANGEJan 28, 2016 to Nov 16, 2017
- HQ state · NY to NJJan 28, 2016 to Nov 16, 2017
- Other offices · unset to 1.0Jan 28, 2016 to Nov 16, 2017
- Discretionary RAUM · $69.8M to $28.4MJan 28, 2016 to Nov 16, 2017
- Pooled vehicle RAUM · unset to 28400000.0Jan 28, 2016 to Nov 16, 2017
- RAUM · $69.8M to $28.4MJan 28, 2016 to Nov 16, 2017
- Related broker-dealer · true to falseJan 28, 2016 to Nov 16, 2017
Signals
1 dated events
- C••••••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 28, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• M••••••••• G••••• L•• · Private Equityshared crd · organization
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