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••••• I••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 281292SEC 801-106581IAPD
Latest filing May 13, 2019
First filing on the tape Aug 20, 2015 · 13 filings
RAUM
$218M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$218M as of Mar 27, 2019
Mar 18, 2016$74.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 18, 20160 then
Employees (5.A)5 as of Mar 27, 2019
Mar 18, 20166 then
Private funds: 1
RAUM +27% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 13, 2019; 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
$54.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+27%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 vehicles, portfolio management for investment companiesreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$155M71%
  • Investment companies$62.3M29%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• S••••• M••••• F••• L••no longer reportedHedge Fund$8.4M4Aug 25, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• E•••••• W••••• · Founder, Sole Managing Member And Chief Investment Officercontrol
        since 08/2015 · owns 75% or more
      • W••••• A••• · Chief Compliance Officercontrol
        since 04/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list C••••• I••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Mar 27, 2019 to May 13, 2019
      • Employees · 5 to 4
        Mar 27, 2019 to May 13, 2019
      • Accounts · 3 to 4
        Jul 9, 2018 to Mar 27, 2019
      • Advisory employees · 4 to 5
        Jul 9, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 2 to 3
        Jul 9, 2018 to Mar 27, 2019
      • Employees · 4 to 5
        Jul 9, 2018 to Mar 27, 2019
      • Discretionary RAUM · $172M to $218M
        Jul 9, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $121M to $155M
        Jul 9, 2018 to Mar 27, 2019
      • RAUM · $172M to $218M
        Jul 9, 2018 to Mar 27, 2019
      • Discretionary RAUM · $133M to $172M
        Oct 24, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · $110M to $121M
        Oct 24, 2017 to Mar 27, 2018
      • RAUM · $133M to $172M
        Oct 24, 2017 to Mar 27, 2018
      • Accounts · 6 to 3
        May 16, 2017 to Oct 20, 2017
      • Advisory employees · 5 to 4
        May 16, 2017 to Oct 20, 2017
      • Advisory activities · 4 to 2
        May 16, 2017 to Oct 20, 2017
      • Pooled vehicle clients · unset to 2.0
        May 16, 2017 to Oct 20, 2017
      • Employees · 6 to 4
        May 16, 2017 to Oct 20, 2017
      • Other offices · unset to 0.0
        May 16, 2017 to Oct 20, 2017
      • Discretionary RAUM · $197M to $133M
        May 16, 2017 to Oct 20, 2017
      • Pooled vehicle RAUM · unset to 110128136.0
        May 16, 2017 to Oct 20, 2017
      • RAUM · $197M to $133M
        May 16, 2017 to Oct 20, 2017
      • Related adviser · true to false
        May 16, 2017 to Oct 20, 2017
      • Related bank · true to false
        May 16, 2017 to Oct 20, 2017
      • Related broker-dealer · true to false
        May 16, 2017 to Oct 20, 2017
      • Accounts · 8 to 6
        Mar 28, 2017 to May 16, 2017
      • Assets in custody · 8426000.0 to unset
        Mar 28, 2017 to May 16, 2017
      • Custody of client assets · true to false
        Mar 28, 2017 to May 16, 2017
      • Private funds · 1 to unset
        Mar 28, 2017 to May 16, 2017
      • Discretionary RAUM · $104M to $197M
        Mar 28, 2017 to May 16, 2017
      • RAUM · $104M to $197M
        Mar 28, 2017 to May 16, 2017
      • Accounts · 4 to 8
        Sep 22, 2016 to Mar 28, 2017
      • Assets in custody · $10.7M to $8.4M
        Sep 22, 2016 to Mar 28, 2017
      • Discretionary RAUM · $74.4M to $104M
        Sep 22, 2016 to Mar 28, 2017
      • RAUM · $74.4M to $104M
        Sep 22, 2016 to Mar 28, 2017
      • Assets in custody · unset to 10727701.0
        Aug 25, 2016 to Sep 22, 2016
      • Custody of client assets · false to true
        Aug 25, 2016 to Sep 22, 2016
      • Private funds · unset to 1
        Mar 18, 2016 to Aug 25, 2016
      • Accounts · 5 to 4
        Nov 17, 2015 to Mar 18, 2016
      • Advisory employees · 7 to 5
        Nov 17, 2015 to Mar 18, 2016
      • Advisory activities · 3 to 4
        Nov 17, 2015 to Mar 18, 2016
      Signals
      2 dated events
      • Matthew Brian Agnew (Managing Member And Portfolio Manager) no longer on Schedule A of C••••• I••••••••• L•• (listed 2019-03-27, absent 2019-05-13)
        May 13, 2019 · Control person left · inference
      • C••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 20, 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.
      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