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•• L••
Latest filing Jul 30, 2024
First filing on the tape Nov 2, 2015 · 23 filings
SEC status approved since Nov 9, 2015
RAUM
$963M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$1.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
78
$563M gross assets
History
23 filings and snapshots on the tape
RAUM$963M as of Mar 26, 2024
Mar 4, 2016$25.0M then
HNW client RAUM$1.5M as of Mar 26, 2024
Mar 28, 2018$7.8M then
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 4, 20160 then
Employees (5.A)26 as of Mar 26, 2024
Mar 4, 20165 then
Private funds78 as of Mar 26, 2024
Mar 4, 20161 then
RAUM -12% over the last fiscal year+7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 2024; 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
- $138,029derivedHNW RAUM over HNW clients
- Average account
- $8.5MderivedRAUM 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
- -12%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $901M, 93 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$961M100%
- High-net-worth individuals$1.5M0.2%
- Pension and profit-sharing plans$29,7260.0%
- Charitable organizations$4,1700.0%
- Individual clients
- n/areported
- HNW clients
- 11reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 113reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $901M for 93 clientsreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
106 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• G• I•••••••• I• L• | Real Estate Fund | $41.9M | 76 | Mar 30, 2020 |
| S••••••• G• I•••••••• Q•• I• L• | Real Estate Fund | $40.6M | 132 | Mar 30, 2020 |
| N•••••••• T• I•••••••• Q•• I• L• | Real Estate Fund | $35.7M | 138 | Mar 30, 2020 |
| F•••• T• I•••••••• Q•• I• L• | Real Estate Fund | $28.9M | 105 | Mar 30, 2020 |
| F•••••• T• I•••••••• Q•• I• L• | Real Estate Fund | $26.8M | 102 | Mar 30, 2020 |
| F•••••••• T• I•••••••• I• L• | Real Estate Fund | $23.5M | 60 | Mar 29, 2019 |
| S••••••••• I•••••••• I• L• | Real Estate Fund | $21.6M | 40 | Mar 28, 2018 |
| C•••••••• S• I•••••••• L• | Real Estate Fund | $17.2M | 165 | Mar 31, 2023 |
| F•••••••• T• I•••••••• P••••••• L• | Real Estate Fund | $15.6M | 12 | Mar 29, 2019 |
| S••••••••• C• I•••••••• I• L• | Real Estate Fund | $14.9M | 51 | Mar 29, 2019 |
| C••• O••••••• F••• I• L• | Real Estate Fund | $13.8M | 1 | Mar 31, 2023 |
| O••••• C••••• T•••• I•••••••• I• L• | Real Estate Fund | $13.3M | 20 | Mar 28, 2018 |
| W••• P••••• I•••••••• L• | Real Estate Fund | $11.8M | 32 | Mar 31, 2017 |
| S••••••••• C• I•••••••• P••••••• L• | Real Estate Fund | $10.9M | 9 | Mar 29, 2019 |
| S•• F••••••• C• I•••••••• Q•• L• | Real Estate Fund | $10.5M | 84 | Mar 30, 2020 |
| O••••• C••••• T•••• I•••••••• P••••••• L• | Real Estate Fund | $10.4M | 7 | Mar 28, 2018 |
| W•••••••• N• I•••••••• L• | Real Estate Fund | $9.8M | 103 | Mar 31, 2023 |
| F•••• T• I•••••••• Q•• I•• L• | Real Estate Fund | $9.7M | 57 | Mar 31, 2021 |
| W•••••••• N• I•••••••• P••••••• L• | Real Estate Fund | $8.7M | 20 | Mar 31, 2023 |
| A••••• C• I•••••••• L• | Real Estate Fund | $8.1M | 60 | Mar 31, 2023 |
| P••••••• T• I•••••••• P••••••• L• | Real Estate Fund | $8.1M | 20 | Mar 31, 2021 |
| S••••••••• C• I•••••••• L• | Real Estate Fund | $7.9M | 81 | Mar 28, 2018 |
| W•••••••• T• I•••••••• L• | Real Estate Fund | $7.7M | 59 | Mar 31, 2023 |
| S••••••••• I•••••••• P••••••• I• L• | Real Estate Fund | $7.5M | 6 | Mar 28, 2018 |
| N•••••••• T• I•••••••• Q•• V• L• | Real Estate Fund | $7.3M | 43 | Mar 31, 2023 |
| M••••••• C• I•••••••• P••••••• L• | Real Estate Fund | $7.1M | 19 | Mar 30, 2020 |
| A•• A•••• M• I•••••••• L• | Real Estate Fund | $7.0M | 109 | Mar 31, 2023 |
| N•••••••• T• I•••••••• Q•• I• L• | Real Estate Fund | $6.7M | 89 | Mar 30, 2020 |
| C••••••• N• I•••••••• P••••••• L• | Real Estate Fund | $6.6M | 18 | Mar 31, 2021 |
| I••••• S• I•••••••• P••••••• L• | Real Estate Fund | $6.4M | 15 | Mar 26, 2024 |
| C•••••••• S• I•••••••• P••••••• L• | Real Estate Fund | $6.4M | 14 | Mar 30, 2020 |
| N•••••••• T• I•••••••• Q•• I• L• | Real Estate Fund | $5.8M | 138 | Mar 30, 2020 |
| W••••• C•••• T• I•••••••• L• | Real Estate Fund | $5.8M | 56 | Mar 31, 2023 |
| C•••••• F• I•••••••• P••••••• L• | Real Estate Fund | $5.6M | 19 | Mar 30, 2020 |
| S••••••• C• I•••••••• P••••••• L• | Real Estate Fund | $5.6M | 22 | Mar 30, 2020 |
| U•• B••••••• I•••••••• L•no longer reported | Real Estate Fund | $5.3M | 29 | Mar 31, 2017 |
| S••••••• G• I•••••••• Q•• L• | Real Estate Fund | $5.3M | 60 | Mar 30, 2020 |
| F••• M•••• F• I•••••••• L• | Real Estate Fund | $5.0M | 55 | Mar 31, 2023 |
| P•••• G• I•••••••• P••••••• L• | Real Estate Fund | $5.0M | 19 | Mar 31, 2023 |
| W••••• C•••• T• I•••••••• I• L• | Real Estate Fund | $4.9M | 51 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M••••• D••••••• •••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- R••••••••• D••••• · Chief Executive Officercontrolsince 07/2024 · owns less than 5%
- R••••••••• D••••• · Chief Executive Officercontrolsince 07/2024 · owns F of Q••••• P••••••• L••
Entity owners
- Q••••• P••••••• L•• · Memberdirect · owns 75% or more
- Y••••••••• I••• · Shareholderindirect · owns 75% or more of Q••••• P••••••• L••
Related persons
Schedule D 7.A
- A••••• C• G• L••pooled vehicle sponsorn
- A•• A•••• M• G• L••pooled vehicle sponsorn
- B•••• A• G• L••pooled vehicle sponsorn
- C•••• D••••• A••••• G• L••pooled vehicle sponsorn
- C•••••••• S• G• L••pooled vehicle sponsorn
- C•••••• F• G• L••pooled vehicle sponsorn
- C••••••• N• G• L••pooled vehicle sponsorn
- C••••••• A• G• L••pooled vehicle sponsorn
- C••••••••• T• G• L••pooled vehicle sponsorn
- C••••••••• T• G• L••pooled vehicle sponsorn
- C••••••••• G• L••pooled vehicle sponsorn
- F•••••• T• G• L••pooled vehicle sponsorn
- F•••• T• G• L••pooled vehicle sponsorn
- F•••• T• I•••••••• Q•• I• L•pooled vehicle sponsorn
- F••• M•••• F• G• L••pooled vehicle sponsorn
- F•••••••• T• G• L••pooled vehicle sponsorn
- G•••••• F• G• L••pooled vehicle sponsorn
- H•••••• U• G• L••pooled vehicle sponsorn
- H••••• G• G• L••pooled vehicle sponsorn
- J•••••••• T• G• L••pooled vehicle sponsorn
- K•• W••• M• G• L••pooled vehicle sponsorn
- L••••••• F• G• L••pooled vehicle sponsorn
- L•••••• C• G• L••pooled vehicle sponsorn
- M••••••• C• G• L••pooled vehicle sponsorn
- N•••••••• T• G• L••pooled vehicle sponsorn
- N••••• M• G• L••pooled vehicle sponsorn
- O••••• C••••• T•••• G• L••pooled vehicle sponsorn
- P••••••• G• G• L••pooled vehicle sponsorn
- P•••••••• G• G• L••pooled vehicle sponsorn
- P•••• G• G• L••pooled vehicle sponsorn
Advisers that list C•• L•• as a related person
- 282487 n
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL4 employees
What changed
consecutive filings, newest first
- Accounts · 121 to 113Mar 20, 2024 to Mar 26, 2024
- Advisory employees · 22 to 14Mar 20, 2024 to Mar 26, 2024
- BD registered reps · 23 to 6Mar 20, 2024 to Mar 26, 2024
- Pooled vehicle clients · 107 to 99Mar 20, 2024 to Mar 26, 2024
- Assets in custody · $1.0B to $901MMar 20, 2024 to Mar 26, 2024
- Employees · 42 to 26Mar 20, 2024 to Mar 26, 2024
- Private funds · 91 to 78Mar 20, 2024 to Mar 26, 2024
- Discretionary RAUM · $1.1B to $963MMar 20, 2024 to Mar 26, 2024
- HNW RAUM · $4.7M to $1.5MMar 20, 2024 to Mar 26, 2024
- Pension RAUM · $111,536 to $29,726Mar 20, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $1.1B to $961MMar 20, 2024 to Mar 26, 2024
- RAUM · $1.1B to $963MMar 20, 2024 to Mar 26, 2024
- Related adviser · false to trueMar 31, 2023 to Mar 20, 2024
- Accounts · 98 to 121Nov 3, 2022 to Mar 31, 2023
- Advisory employees · 29 to 22Nov 3, 2022 to Mar 31, 2023
- BD registered reps · 25 to 23Nov 3, 2022 to Mar 31, 2023
- Pooled vehicle clients · 84 to 107Nov 3, 2022 to Mar 31, 2023
- Assets in custody · $1.0B to $1.0BNov 3, 2022 to Mar 31, 2023
- Employees · 39 to 42Nov 3, 2022 to Mar 31, 2023
- Private funds · 71 to 91Nov 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.1BNov 3, 2022 to Mar 31, 2023
- HNW RAUM · $5.1M to $4.7MNov 3, 2022 to Mar 31, 2023
- Pension RAUM · $259,036 to $111,536Nov 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.1BNov 3, 2022 to Mar 31, 2023
- RAUM · $1.1B to $1.1BNov 3, 2022 to Mar 31, 2023
- Accounts · 119 to 98Aug 23, 2021 to Mar 31, 2022
- Advisory employees · 31 to 29Aug 23, 2021 to Mar 31, 2022
- BD registered reps · 26 to 25Aug 23, 2021 to Mar 31, 2022
- Charity clients · unset to 1.0Aug 23, 2021 to Mar 31, 2022
- HNW clients · 39 to 11Aug 23, 2021 to Mar 31, 2022
- Pension plan clients · unset to 2.0Aug 23, 2021 to Mar 31, 2022
- Pooled vehicle clients · 80 to 84Aug 23, 2021 to Mar 31, 2022
- Assets in custody · $730M to $1.0BAug 23, 2021 to Mar 31, 2022
- Employees · 47 to 39Aug 23, 2021 to Mar 31, 2022
- Private funds · 69 to 71Aug 23, 2021 to Mar 31, 2022
- Discretionary RAUM · $766M to $1.1BAug 23, 2021 to Mar 31, 2022
- HNW RAUM · $3.1M to $5.1MAug 23, 2021 to Mar 31, 2022
- Pension RAUM · unset to 259036.0Aug 23, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $763M to $1.1BAug 23, 2021 to Mar 31, 2022
- RAUM · $766M to $1.1BAug 23, 2021 to Mar 31, 2022
Signals
13 dated events
- C•• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $962.5M)May 2, 2025 · Left the SEC roster · derived
- D••••• R••••••••• (Chief Executive Officer) appeared on Schedule A of C•• L••Jul 30, 2024 · Control person joined · fact
- Addison Ryan Williams (Chief Executive Officer) no longer on Schedule A of C•• L•• (listed 2024-04-22, absent 2024-07-30)Jul 30, 2024 · Control person left · inference
- K•••• B•••••••• (General Counsel, Chief Compliance Officer) no longer on Schedule A of C•• L•• (listed 2022-11-03, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- (Nmn) Domenic Miele (Chief Compliance Officer) appeared on Schedule A of C•• L••Mar 31, 2023 · Control person joined · fact
- C•• L•• reported RAUM $1.1B, up 44% from $766.1M (2021-08-23 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- K•••• B•••••••• (General Counsel, Chief Compliance Officer) appeared on Schedule A of C•• L••Mar 31, 2022 · Control person joined · fact
- A•••••••• L••••••• (Chief Legal Officer, Chief Compliance Officer) no longer on Schedule A of C•• L•• (listed 2021-03-31, absent 2021-08-23)Aug 23, 2021 · Control person left · inference
- Sam M••••••• (Chief Commercial Officer) no longer on Schedule A of C•• L•• (listed 2020-03-30, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- C•• L•• reported RAUM $802.7M, up 54% from $522.1M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Sam M••••••• (Chief Commercial Officer) appeared on Schedule A of C•• L••Mar 29, 2019 · Control person joined · fact
- C•• L•• reported RAUM $477.6M, up 529% from $75.9M (2017-03-31 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- C•• L•• filed its initial SEC registration (Form ADV)Nov 2, 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
Across the graphs
C•• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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