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••••••••• F••••••••• L••
Latest filing Mar 11, 2021
First filing on the tape May 28, 2019 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$350M as of Mar 9, 2021
May 28, 2019$282M then
HNW client RAUM$218M as of Mar 9, 2021
May 28, 2019$162M then
State-registered IARs (5.B.3)0 as of Mar 11, 2021
May 28, 20196 then
Employees (5.A)1 as of Mar 11, 2021
May 28, 201914 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 2021; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- N•••• Z••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- M•••••••• C• R•••••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- S••• D• M•••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- J•••• C• P••••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- N••••• P•••••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- A••••• J••••• K•••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- C•••• D••••• P•••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- L••••••• E•••••• H•••••• to L•••••• W••••• M••••••••• L••Dec 31, 2020 · RIA to RIA
- R•••• B• H•••••• to N•••••Nov 19, 2020 · RIA to RIA
- J••• R•••••• G••• to P•••••• W••••• A•••••••Mar 25, 2020 · RIA to RIA
- J••••• L•• S•••• to C•••••• W••••• P•••••••• L••Aug 20, 2019 · RIA to RIA
- R••• A•••• F•••••• to M••••• S••••••May 9, 2018 · RIA to wirehouse
- T••• M• M••••••• to P••••••• W••••• P•••••••Jan 31, 2017 · Other
Joined, latest
- N••••• P•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Oct 25, 2019 · Affiliated broker-dealer or bank to independent RIA
- A••••• J••••• K•••• from P••••••• A••••••• G••••• I•••Oct 2, 2019 · RIA to RIA
- S••• D• M•••• from W•••• F•••• A•••••••Jan 30, 2019 · Wirehouse to independent RIA
- J•••• C• P••••• from P••••••• W••••• P•••••••Jul 31, 2018 · Other
- C•••• D••••• P•••• from H••••• R••••Jul 2, 2018 · RIA to RIA
- R•••• B• H•••••• from M•••• • C••••• I••Jun 26, 2018 · Other
- R••• A•••• F•••••• from P••••••• W••••• P•••••••Apr 30, 2018 · Other
- L••••••• E•••••• H•••••• from M•• I••••••••• M••••••••• C••••Apr 6, 2018 · Other
- M•••••••• C• R•••••• from C•••••• W••••• P•••••••• L••Dec 5, 2017 · RIA to RIA
- J••••• L•• S•••• from F•••• F•••••••• C•••••• A••••••• L••Jan 19, 2017 · Other
- T••• M• M••••••• from Q••••••••• I••••••••• D•••••••• L••Dec 3, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 left for L•••••• W••••• M••••••••• L••Dec 31, 2020 · N•••••, Fl · Firm absorbed
- 2 joined from P••••••• W••••• P•••••••Dec 11, 2017 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• L••••• K••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- I••••• J•••••• M• · Membercontrolsince 01/2017 · owns 50% to 75%
- S••••••• K••••• G•••• · Membercontrolsince 01/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• W••••• P•••••••• L••investment advisernRAUM $17B
Advisers that list C••••••••• F••••••••• L•• as a related person
- 175114 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1059.0 to unsetMar 9, 2021 to Mar 11, 2021
- Advisory employees · 13 to 0Mar 9, 2021 to Mar 11, 2021
- Advisory activities · 2 to 1Mar 9, 2021 to Mar 11, 2021
- BD registered reps · 2 to 0Mar 9, 2021 to Mar 11, 2021
- Charity clients · 1.0 to unsetMar 9, 2021 to Mar 11, 2021
- Corporate clients · 5.0 to unsetMar 9, 2021 to Mar 11, 2021
- HNW clients · 98.0 to unsetMar 9, 2021 to Mar 11, 2021
- Individual clients · 399.0 to unsetMar 9, 2021 to Mar 11, 2021
- Assets in custody · 0.0 to unsetMar 9, 2021 to Mar 11, 2021
- Employees · 22 to 1Mar 9, 2021 to Mar 11, 2021
- Financial planning clients · 1-10 to unsetMar 9, 2021 to Mar 11, 2021
- State-registered IARs · 8 to 0Mar 9, 2021 to Mar 11, 2021
- Other offices · 2 to 0Mar 9, 2021 to Mar 11, 2021
- Discretionary RAUM · 350106694.0 to unsetMar 9, 2021 to Mar 11, 2021
- HNW RAUM · 217949709.0 to unsetMar 9, 2021 to Mar 11, 2021
- Individual RAUM · 113227489.0 to unsetMar 9, 2021 to Mar 11, 2021
- Non-discretionary RAUM · 0.0 to unsetMar 9, 2021 to Mar 11, 2021
- RAUM · 350106694.0 to unsetMar 9, 2021 to Mar 11, 2021
- Business name · N••••• W••••• P••••••• to C••••••••• F••••••••• L••Mar 11, 2021 to Mar 11, 2021
- Accounts · 1,148 to 1,059May 28, 2019 to Mar 30, 2020
- Advisory employees · 10 to 13May 28, 2019 to Mar 30, 2020
- BD registered reps · 1 to 2May 28, 2019 to Mar 30, 2020
- Charity clients · unset to 1.0May 28, 2019 to Mar 30, 2020
- Corporate clients · 10 to 5May 28, 2019 to Mar 30, 2020
- HNW clients · 64 to 98May 28, 2019 to Mar 30, 2020
- Individual clients · 549 to 399May 28, 2019 to Mar 30, 2020
- Employees · 14 to 22May 28, 2019 to Mar 30, 2020
- Financial planning clients · 0 to 1-10May 28, 2019 to Mar 30, 2020
- State-registered IARs · 6 to 8May 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $282M to $350MMay 28, 2019 to Mar 30, 2020
- HNW RAUM · $162M to $218MMay 28, 2019 to Mar 30, 2020
- Individual RAUM · $116M to $113MMay 28, 2019 to Mar 30, 2020
- RAUM · $282M to $350MMay 28, 2019 to Mar 30, 2020
Signals
2 dated events
- Karl Louis Albenga (Chief Compliance Officer) appeared on Schedule A of C••••••••• F••••••••• L••Mar 11, 2021 · Control person joined · fact
- N••••• W••••• P••••••• filed its initial SEC registration (Form ADV)May 28, 2019 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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