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••••••••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 282849SEC 801-107939IAPD
Latest filing Apr 20, 2023
First filing on the tape May 31, 2016 · 12 filings
RAUM
$122M
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
27
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$122M gross assets
History
12 filings and snapshots on the tape
RAUM$122M as of Mar 31, 2023
Mar 31, 2017$253M then
HNW client RAUM$0 as of Mar 31, 2023
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20170 then
Employees (5.A)27 as of Mar 31, 2023
Mar 31, 201710 then
Private funds2 as of Mar 31, 2023
Mar 31, 20171 then
RAUM -63% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 20, 2023; 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
$60.9MderivedRAUM 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
-63%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$122M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• V•••• F••• I• L•Real Estate Fund$46.4M4May 31, 2016
      C••• 4•• S• F••••• H••••••• L•••Real Estate Fund$37,8472Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • R••••• T•••••• S•••••• · Principalcontrol
        since 09/2015 · owns less than 5%
      • S••••• R••••••• L••• · Principalcontrol
        since 09/2015 · owns less than 5%
      • S•••••• J•••• R•••••• · Principalcontrol
        since 09/2015 · owns less than 5%
      • R••••• T•••••• S•••••• · Managing Membercontrol
        since 09/2015 · owns 25% to 50% of C•••••••• C•••••• P•••••••• L••
      • S••••• R••••••• L••• · Managing Membercontrol
        since 09/2015 · owns 25% to 50% of C•••••••• C•••••• P•••••••• L••
      • S•••••• J•••• R•••••• · Managing Membercontrol
        since 09/2015 · owns 25% to 50% of C•••••••• C•••••• P•••••••• L••
      • M•••••• R•••••• D•••••• · Chief Financial Officer And Chief Compliance Officer
        since 09/2015 · owns less than 5%
      Entity owners
      • C•••••••• M••••••••• L• · Managing Member
        direct · owns 75% or more
      • C•••••••• C•••••• P•••••••• L•• · Limited Partner
        indirect · owns 75% or more of C•••••••• M••••••••• L•
      • C•••••••• C••••••• I••• · General Partner
        indirect · owns F of C•••••••• M••••••••• L•
      Related persons
      Schedule D 7.A
      • C•••••••• M••••••••• I•••
        investment companyy
      • C•••••••• V•••• F••• I• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Philadelphia, PA2 employees
      • Dallas, TX1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 11
        Mar 31, 2022 to Mar 31, 2023
      • Employees · 30 to 27
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $326M to $122M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $326M to $122M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $326M to $122M
        Mar 31, 2022 to Mar 31, 2023
      • Advisory employees · 11 to 12
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 18 to 30
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $297M to $326M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $297M to $326M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $297M to $326M
        Mar 31, 2021 to Mar 31, 2022
      • Business name · C•••••••• I••••••••• M••••••••• L•• to C•••••••• I••••••••• M••••••••• L••
        Oct 21, 2020 to Mar 31, 2021
      • Assets in custody · $282M to $0
        Oct 21, 2020 to Mar 31, 2021
      • Legal name · C•••••••• I••••••••• M••••••••• L•• to C•••••••• I••••••••• M••••••••• L••
        Oct 21, 2020 to Mar 31, 2021
      • Discretionary RAUM · $325M to $297M
        Oct 21, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $325M to $297M
        Oct 21, 2020 to Mar 31, 2021
      • RAUM · $325M to $297M
        Oct 21, 2020 to Mar 31, 2021
      • Related adviser · true to false
        Oct 21, 2020 to Mar 31, 2021
      • Other offices · 1 to 2
        Mar 30, 2020 to Oct 21, 2020
      • Advisory employees · 10 to 11
        Jan 12, 2020 to Mar 30, 2020
      • Assets in custody · $299M to $282M
        Jan 12, 2020 to Mar 30, 2020
      • Employees · 15 to 18
        Jan 12, 2020 to Mar 30, 2020
      • Discretionary RAUM · $299M to $325M
        Jan 12, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $299M to $325M
        Jan 12, 2020 to Mar 30, 2020
      • RAUM · $299M to $325M
        Jan 12, 2020 to Mar 30, 2020
      • Advisory employees · 8 to 10
        Mar 30, 2018 to Mar 26, 2019
      • Assets in custody · $312M to $299M
        Mar 30, 2018 to Mar 26, 2019
      • Employees · 12 to 15
        Mar 30, 2018 to Mar 26, 2019
      • Discretionary RAUM · $312M to $299M
        Mar 30, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $312M to $299M
        Mar 30, 2018 to Mar 26, 2019
      • RAUM · $312M to $299M
        Mar 30, 2018 to Mar 26, 2019
      • Accounts · 1 to 2
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 7 to 8
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $253M to $312M
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 10 to 12
        Mar 31, 2017 to Mar 30, 2018
      Signals
      2 dated events
      • C•••••••• I••••••••• M••••••••• L•• reported RAUM $121.8M, down 63% from $326.5M (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • C•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 31, 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
      Across the graphs

      C•••••••• I••••••••• M••••••••• 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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