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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••••• F••• M••••••••• C••••••• L••

Former SEC-registered adviserIrvine, CaliforniaCRD 281052SEC 801-106841IAPD
Latest filing Sep 14, 2017
First filing on the tape Oct 19, 2015 · 4 filings
RAUM
$332M
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$332M gross assets
History
4 filings and snapshots on the tape
RAUM$332M as of Mar 24, 2017
Mar 28, 2016$286M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 28, 20160 then
Employees (5.A)9 as of Mar 24, 2017
Mar 28, 201610 then
Private funds3 as of Mar 24, 2017
Mar 28, 20163 then
RAUM +16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 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
$111MderivedRAUM 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
+16%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
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• C•••••••• B••••••••• L•••Private Equity Fund$71.2M18Mar 28, 2013
      C•••••••• C•••••••• B••••••••• L•••Private Equity Fund$9.7M2Mar 28, 2013
      C•••••••• C•••••••• B•••••••• L•••Private Equity Fund$2.5M13Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• E•••••• J••• · Managing Membercontrol
        since 12/2007 · owns 75% or more
      • F•••••••• J•••• D•••• · Managing Member
        since 12/2007 · owns 10% to 25%
      • J••••• J••••• B••••• · Chief Compliance Officer & Managing Member
        since 12/2007 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 5
        Mar 28, 2016 to Mar 24, 2017
      • Employees · 10 to 9
        Mar 28, 2016 to Mar 24, 2017
      • Discretionary RAUM · $286M to $332M
        Mar 28, 2016 to Mar 24, 2017
      • RAUM · $286M to $332M
        Mar 28, 2016 to Mar 24, 2017
      • Discretionary RAUM · $298M to $286M
        Oct 19, 2015 to Mar 28, 2016
      • RAUM · $298M to $286M
        Oct 19, 2015 to Mar 28, 2016
      Signals
      1 dated events
      • C•••••••• F••• M••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 19, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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