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•• R••• A•••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 282562SEC 801-107220IAPD
Latest filing Nov 13, 2020
First filing on the tape Jan 22, 2016 · 15 filings
RAUM
$30.2M
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
18
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$30.2M as of Mar 24, 2020
Mar 30, 2017$2.4M then
HNW client RAUM$0 as of Mar 24, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2020
Mar 30, 20170 then
Employees (5.A)18 as of Mar 24, 2020
Mar 30, 2017547 then
Private funds: no history
RAUM -35% over the last fiscal year+134% a year over threeIARs 0 to 0offices 4 to 2
Practice profile
derived from the filing of Nov 13, 2020; 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
$6.0MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-35%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 investment companiesreportedItem 5.G
Custody
$30.2M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$30.2M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$30.2M for 5 clientsreported
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
      • B••••••• T•••••• J••••• · Chairman Of Registrant; Chairman Of C••••• C•••••• I••••••••• A•••••••• L••; Executive Chairman And Ceo Of C••••• C••••••• I•••control
        since 01/2017 · owns less than 5%
      • H•••••••• M•••• M••••• · Vp Of Registrant; Vp Of C••••• C•••••• I••••••••• A•••••••• L•• And Coo And Cfo Of C••••• C••••••• I•••control
        since 01/2017 · owns less than 5%
      • S••••••• R•••••• M••• · Vp Of Registrant; Vp Of C••••• C•••••• I••••••••• A•••••••• L•• And Chief Legal Officer Of C••••• C••••••• I•••control
        since 01/2017 · owns less than 5%
      • W••••••• K••••••• A•• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      Entity owners
      • C•• A•••••• H•••••••• L•• · Member
        direct · owns 75% or more
      • C••••• C•••••• I••••••••• A•••••••• L•• · Member
        indirect · owns 75% or more of C•• A•••••• H•••••••• L••
      • C••••• C•••••• I••••••••• H•••••• L•• · Member
        indirect · owns 75% or more of C••••• C•••••• I••••••••• A•••••••• L••
      • C••••• C•••••• O• S••••••••• L•• · Member
        indirect · owns 75% or more of C••••• C•••••• I••••••••• H•••••• L••
      • C••••• C•••••• O•••••••• C••••••• L•• · Member
        indirect · owns 75% or more of C••••• C•••••• O• S••••••••• L••
      • C••••• C••••••• I••• · Member
        indirect · owns 75% or more of C••••• C•••••• O•••••••• C••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • A••••• E••••• C••••••• L••
        pooled vehicle sponsorn
      • A•••••• E• H••••••• G•• L••
        pooled vehicle sponsorn
      • C• E••••• I••••••••• G•• L••
        pooled vehicle sponsorn
      • C••• I• I••••••••• A••••••• L••
        investment advisern
      • C••• V• I••••••••• A••••••• L••
        investment advisern
      • C•• S••• H••••••• A• L••
        pooled vehicle sponsorn
      • C•• B••• 2••• I••••••••• A••••••• L••
        investment advisern
      • C•• H• B••• 2••• G•• L••
        pooled vehicle sponsorn
      • C••• M••••••• L••
        investment advisernRAUM $6.2B
      • C•• C•••••• P•••• A••••••• L••
        investment advisern
      • C•• C•••••• P•••• G•• L••
        pooled vehicle sponsorn
      • C•• F••• A•••••••• L•••
        investment advisern
      • C•• N••• A•••••••• L••
        investment advisernRAUM $1.4B
      • C•• N•• A•••••••• L••
        investment advisernRAUM $33.6M
      • C•• O•• C•• P•••• G•• L••
        pooled vehicle sponsorn
      • C•• O•• C•• P•••• I••••••••• A••••••• L••
        investment advisern
      • C•• I••••• I•••• S•••••
        investment adviserpooled vehicle sponsorn
      • C••••••••• G•• L••
        pooled vehicle sponsorn
      • C•••••• S•••••••• P••••••• I••• L••
        pooled vehicle sponsorn
      • C•••••• S•••••••• P•••••••• L••
        pooled vehicle sponsorn
      • C••••• C••••• G•••••• P••••••• L••
        pooled vehicle sponsorn
      • C•••••• S•••••••• P•••••••• L••
        pooled vehicle sponsorn
      • C••••• B•••• C••••••••• G•••••• L••
        pooled vehicle sponsorn
      • C••••• C•••••• • N• L••••••••• S•••••••
        investment advisern
      • C••••• C•••••• ••••••••• N•••• V•••• L••
        pooled vehicle sponsorn
      • C••••• C•••••• ••••••••• V•••• L••
        pooled vehicle sponsorn
      • C••••• C•••••• ••• V•••• L••
        pooled vehicle sponsorn
      • C••••• C•••••• A•••••••• L••
        investment advisern
      • C••••• C•••••• C••••• I•• L•••
        pooled vehicle sponsorn
      • C••••• C•••••• C••••• I••• L•••
        pooled vehicle sponsorn
      Advisers that list C•• R••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY2 employees
      • Irvine, CA
      What changed
      consecutive filings, newest first
      • Related broker-dealer · true to false
        Apr 29, 2020 to Nov 13, 2020
      • Advisory employees · 156 to 2
        Jan 3, 2020 to Mar 24, 2020
      • Assets in custody · $46.7M to $30.2M
        Jan 3, 2020 to Mar 24, 2020
      • Employees · 457 to 18
        Jan 3, 2020 to Mar 24, 2020
      • Financial planning clients · unset to 1-10
        Jan 3, 2020 to Mar 24, 2020
      • Other offices · 4 to 2
        Jan 3, 2020 to Mar 24, 2020
      • Discretionary RAUM · $46.7M to $30.2M
        Jan 3, 2020 to Mar 24, 2020
      • RAUM · $46.7M to $30.2M
        Jan 3, 2020 to Mar 24, 2020
      • Advisory employees · 181 to 156
        Dec 6, 2018 to Mar 28, 2019
      • BD registered reps · 4 to 0
        Dec 6, 2018 to Mar 28, 2019
      • Assets in custody · $32.8M to $46.7M
        Dec 6, 2018 to Mar 28, 2019
      • Employees · 494 to 457
        Dec 6, 2018 to Mar 28, 2019
      • Financial planning clients · 1-10 to unset
        Dec 6, 2018 to Mar 28, 2019
      • Discretionary RAUM · $32.8M to $46.7M
        Dec 6, 2018 to Mar 28, 2019
      • RAUM · $32.8M to $46.7M
        Dec 6, 2018 to Mar 28, 2019
      • Assets in custody · unset to 32771408.0
        Aug 10, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Aug 10, 2017 to Mar 29, 2018
      • Employees · 547 to 494
        Aug 10, 2017 to Mar 29, 2018
      • Financial planning clients · unset to 1-10
        Aug 10, 2017 to Mar 29, 2018
      • Other offices · unset to 4.0
        Aug 10, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.4M to $32.8M
        Aug 10, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • RAUM · $2.4M to $32.8M
        Aug 10, 2017 to Mar 29, 2018
      • Related bank · true to false
        Aug 10, 2017 to Mar 29, 2018
      • Accounts · 3 to 5
        Aug 10, 2017 to Mar 29, 2018
      • Advisory employees · 201 to 181
        Aug 10, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Aug 10, 2017 to Mar 29, 2018
      • Succession · true to false
        Jun 19, 2017 to Aug 10, 2017
      • Succession · false to true
        May 11, 2017 to Jun 19, 2017
      • Business name · N••••••••• N•••••••• A•••• M••••••••• G•••• to C•• R••• A•••••••• L••
        Mar 30, 2017 to May 11, 2017
      • Advisory employees · 5 to 201
        Feb 6, 2017 to Mar 30, 2017
      • BD registered reps · 6 to 4
        Feb 6, 2017 to Mar 30, 2017
      Signals
      5 dated events
      • James Darren Tangen (Vp Of Registrant; Vp Of C••••• C•••••• I••••••••• A•••••••• L•• And President Of C••••• C••••••• I•••) no longer on Schedule A of C•• R••• A•••••••• L•• (listed 2020-03-24, absent 2020-04-29)
        Apr 29, 2020 · Control person left · inference
      • Ann Kristen Whealon (Chief Compliance Officer) appeared on Schedule A of C•• R••• A•••••••• L••
        Mar 28, 2019 · Control person joined · fact
      • Matrick Sandra Forman (Chief Compliance Officer) no longer on Schedule A of C•• R••• A•••••••• L•• (listed 2018-12-06, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • C•• R••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jun 19, 2017 · Succession (Item 4) · fact
      • N••• B••••• L••• filed its initial SEC registration (Form ADV)
        Jan 22, 2016 · 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