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.

Former SEC-registered adviser

Cni Ccef Advisors, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 282366SEC 801-107106IAPD
Latest filing Aug 10, 2017
First filing on the tape Dec 23, 2015 · 6 filings
RAUM
$2.0M
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
547
201 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$2.0M as of Aug 10, 2017
Jun 2, 2016$2.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 10, 2017
Dec 23, 20150 then
Employees (5.A)547 as of Aug 10, 2017
Dec 23, 201527 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 10, 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
$650,371derivedRAUM 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
unknownderived4 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 assets, performance-basedreportedItem 5.E
Advisory activities
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Joseph Thomas Barrack · Chairman Of Registrant; Chairman Of Colony Capital Investment Advisors, LLC; Executive Chairman Of Colony Northstar, Inc.control
        since 01/2017 · owns less than 5%
      • Matrick Sandra Forman · Chief Compliance Officercontrol
        since 08/2016 · owns less than 5%
      • Melvin Mark Hedstrom · Vp Of Registrant; Vp Of Colony Capital Investment Advisors, LLC And Chief Operating Officer Of Colony Northstar, Inc.control
        since 01/2017 · owns less than 5%
      • Brett Richard Saltzman · Chief Executive Officer Of Registrantcontrol
        since 01/2017 · owns less than 5%
      • Mark Ronald Sanders · Vp Of Registrant; Vice President Of Colony Capital Investment Advisors, LLC And Chief Legal Officer Of Colony Northstar, Inc.control
        since 01/2017 · owns less than 5%
      • James Darren Tangen · Vp Of Registrant; Vp Of Colony Capital Investment Advisors, LLC And Chief Financial Officer Of Colony Northstar, Inc.control
        since 01/2017 · owns less than 5%
      Entity owners
      • Cni Advisor Holdings, LLC · Member
        direct · owns 75% or more
      • Colony Capital Investment Advisors, LLC · Member
        indirect · owns 75% or more of Cni Advisor Holdings, LLC
      • Colony Capital Investment Holdco, LLC · Member
        indirect · owns 75% or more of Colony Capital Investment Advisors, LLC
      • Colony Capital Op Subsidiary, LLC · Member
        indirect · owns 75% or more of Colony Capital Investment Holdco, LLC
      • Colony Capital Operating Company, LLC · Member
        indirect · owns 75% or more of Colony Capital Op Subsidiary, LLC
      • Colony Northstar, Inc. · Member
        indirect · owns 75% or more of Colony Capital Operating Company, LLC · public reporting company
      Related persons
      Schedule D 7.A
      • Capra Credit Management, LLC
        investment advisernRAUM $45.1M
      • Cdcf IV Investment Advisor, LLC
        investment advisern
      • Cerep III Secondary Manager, LLC
        pooled vehicle sponsorn
      • Cfssg Real Estate Partners I, LLC
        pooled vehicle sponsorn
      • Cfssg Real Estate Partners II, LLC
        bankpooled vehicle sponsorn
      • Cif-H Gp, LLC
        bankpooled vehicle sponsorn
      • Cif-V Gp, LLC
        bankpooled vehicle sponsorn
      • Cni Fcvp Advisors, LLC
        investment advisern
      • Cni Nre Advisors, LLC
        investment advisern
      • Cni Ns/Rxr Advisors, LLC
        investment advisern
      • Cni Nshc Advisors, LLC
        investment advisern
      • Cni Nsi Advisors, LLC
        investment advisern
      • Cni Nsii Advisors, LLC
        investment advisern
      • Cni Recf Advisors, LLC
        investment advisern
      • Cni Sof Advisors, LLC
        investment advisern
      • Cni Tcef Advisors, LLC
        investment advisern
      • Col Invest Italy S.R.L.
        investment adviserpooled vehicle sponsorn
      • Colarmonia Gp, LLC
        pooled vehicle sponsorn
      • Colcogp Strategic Partners III, LLC
        pooled vehicle sponsorn
      • Colcogp Strategic Partners, LLC
        pooled vehicle sponsorn
      • Colfin Cobalt General Partner, LLC
        pooled vehicle sponsorn
      • Colhmgp Strategic Partners, LLC
        pooled vehicle sponsorn
      • Colony 2011 Adc Co-Investment Genpar, LLC
        pooled vehicle sponsorn
      • Colony Axle Co-Investment Genpar, LLC
        pooled vehicle sponsorn
      • Colony Bulls Co-Investment Genpar, LLC
        pooled vehicle sponsorn
      • Colony Capital (Parallel) Na-Re Viii, LLC
        pooled vehicle sponsorn
      • Colony Capital (Parallel) Viii, LLC
        pooled vehicle sponsorn
      • Colony Capital (US) Viii, LLC
        pooled vehicle sponsorn
      • Colony Capital Credit II, L.P.
        pooled vehicle sponsorn
      • Colony Capital Credit III, L.P.
        pooled vehicle sponsorn
      Advisers that list Cni Ccef Advisors, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwood Village, CO
      • New York, NY
      • New York, NY
      What changed
      consecutive filings, newest first
      • Succession · true to false
        Jun 19, 2017 to Aug 10, 2017
      • Business name · NORTHSTAR, NORTHSTAR ASSET MANAGEMENT GROUP to CNI CCEF ADVISORS, LLC
        Mar 30, 2017 to Jun 19, 2017
      • Succession · false to true
        Mar 30, 2017 to Jun 19, 2017
      • Advisory employees · 7 to 201
        Feb 6, 2017 to Mar 30, 2017
      • BD registered reps · 5 to 4
        Feb 6, 2017 to Mar 30, 2017
      • Employees · 28 to 547
        Feb 6, 2017 to Mar 30, 2017
      • Legal name · NSAM B-CEF LTD. to CNI CCEF ADVISORS, LLC
        Feb 6, 2017 to Mar 30, 2017
      • Discretionary RAUM · $2.0M to $2.0M
        Feb 6, 2017 to Mar 30, 2017
      • RAUM · $2.0M to $2.0M
        Feb 6, 2017 to Mar 30, 2017
      • HQ city · PEMBROKE to LOS ANGELES
        Jun 2, 2016 to Feb 6, 2017
      • HQ state · unset to CA
        Jun 2, 2016 to Feb 6, 2017
      • Organization form · Other (specify) to Limited Liability Company
        Jun 2, 2016 to Feb 6, 2017
      • Accounts · unset to 3.0
        Dec 23, 2015 to Jun 2, 2016
      • Business name · NSAM B-CEF LTD. to NORTHSTAR, NORTHSTAR ASSET MANAGEMENT GROUP
        Dec 23, 2015 to Jun 2, 2016
      • Employees · 27 to 28
        Dec 23, 2015 to Jun 2, 2016
      • Discretionary RAUM · unset to 2000000.0
        Dec 23, 2015 to Jun 2, 2016
      • Non-discretionary RAUM · unset to 0.0
        Dec 23, 2015 to Jun 2, 2016
      • RAUM · unset to 2000000.0
        Dec 23, 2015 to Jun 2, 2016
      • Related bank · false to true
        Dec 23, 2015 to Jun 2, 2016
      Signals
      2 dated events
      • Cni Ccef Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jun 19, 2017 · Succession (Item 4) · fact
      • Nsam B-Cef Ltd. filed its initial SEC registration (Form ADV)
        Dec 23, 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