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•••••••• A•••• M••••••••• L••••••
Latest filing Jun 20, 2025
First filing on the tape Apr 11, 2016 · 16 filings
SEC status approved since Apr 18, 2016
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$0 as of Jun 20, 2025
Mar 28, 2017$73.0M then
HNW client RAUM$0 as of Jun 20, 2025
Jun 6, 2022$0 then
State-registered IARs (5.B.3)0 as of Jun 20, 2025
Mar 28, 20170 then
Employees (5.A)4 as of Jun 20, 2025
Mar 28, 201710 then
Private funds1 as of Jun 24, 2020
Mar 28, 20173 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 20, 2025; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- 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 pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• W••••••••• E••••••• S•••• • M•• C•• F••• • A• S••••••• O• C•••••••• G••••• S•••• • S••no longer reported | Other Private Fund | $25.6M | 15 | Apr 11, 2016 |
| S••••••••• M••••••••• F•••no longer reported | Private Equity Fund | $14.2M | 2 | Apr 11, 2016 |
| N•• M•••• S••••••• F••• I•••no longer reported | Other Private Fund | $252,600 | 4 | Apr 11, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A• B•••••• N•••• · Chairman & Directorcontrolsince 04/2017 · owns 25% to 50%
- C••••••••• B••• · Finance Directorcontrolsince 10/2015 · owns less than 5%
- G•••••• S•••••••• L••••• · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
- H•••••• I••• C•••••• · Ownercontrolsince 04/2017 · owns 25% to 50%
- P•••••• J•••••• C•••• D••••• · Chief Executive Officercontrolsince 01/2018 · owns less than 5%
- A• B•••••• N•••• · Ownercontrolsince 03/2017 · owns 50% to 75% of C•••••••• P••••••• H••••••• L••••••
- A•••••••• D••••• · Ownercontrolsince 03/2017 · owns 50% to 75% of C•••••••• P••••••• H••••••• L••••••
- P•••••• I••• A•••••• · Non Executive Directorsince 06/2018 · owns less than 5%
Entity owners
- C•••••••• F•••••••• I••••••••• 2• L• · Ownerdirect · owns 75% or more
- C•••••••• F•••••••• I••••••••• 2• G• L•••••• · General Partnerindirect · owns F of C•••••••• F•••••••• I••••••••• 2• L•
- C•••••••• P••••••• C•••••• G• L•••••• · General Partnerindirect · owns F of C•••••••• P••••••• L•
- C•••••••• P••••••• H••••• L•• · Ownerindirect · owns 75% or more of C•••••••• F•••••••• I••••••••• 2• G• L••••••
- C•••••••• P••••••• H••••••• L•••••• · Ownerindirect · owns 75% or more of C•••••••• P••••••••• L•
- C•••••••• P••••••• L• · Ownerindirect · owns 75% or more of C•••••••• F•••••••• I••••••••• 2• L•
- C•••••••• P••••••••• C•••••• G• L•••••• · General Partnerindirect · owns F of C•••••••• P••••••••• L•
- C•••••••• P••••••••• L• · Ownerindirect · owns 75% or more of C•••••••• P••••••• L•
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Jun 14, 2024 to Jun 20, 2025
- Financial planning clients · 0 to 0Jun 14, 2024 to Jun 20, 2025
- HQ state · unset to Jun 14, 2024 to Jun 20, 2025
- Discretionary RAUM · unset to 0.0Jun 14, 2024 to Jun 20, 2025
- Non-discretionary RAUM · unset to 0.0Jun 14, 2024 to Jun 20, 2025
- RAUM · unset to 0.0Jun 14, 2024 to Jun 20, 2025
- Employees · 6 to 4Jun 6, 2022 to Jun 21, 2023
- Charity clients · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- Corporate clients · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- HNW clients · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- Individual clients · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- Pension plan clients · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- HNW RAUM · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- Individual RAUM · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- Pension RAUM · unset to 0.0Jun 23, 2021 to Jun 6, 2022
- Accounts · 1.0 to unsetJun 24, 2020 to Jun 23, 2021
- Advisory employees · 3 to 1Jun 24, 2020 to Jun 23, 2021
- Pooled vehicle clients · 1 to 0Jun 24, 2020 to Jun 23, 2021
- Employees · 10 to 6Jun 24, 2020 to Jun 23, 2021
- Private funds · 1 to unsetJun 24, 2020 to Jun 23, 2021
- Discretionary RAUM · 25644432.0 to unsetJun 24, 2020 to Jun 23, 2021
- Non-discretionary RAUM · 0.0 to unsetJun 24, 2020 to Jun 23, 2021
- Pooled vehicle RAUM · $25.6M to $0Jun 24, 2020 to Jun 23, 2021
- RAUM · 25644432.0 to unsetJun 24, 2020 to Jun 23, 2021
- Other offices · 1 to 0Apr 4, 2019 to Jun 24, 2020
- Discretionary RAUM · $58.3M to $25.6MApr 4, 2019 to Jun 24, 2020
- Pooled vehicle RAUM · $58.3M to $25.6MApr 4, 2019 to Jun 24, 2020
- RAUM · $58.3M to $25.6MApr 4, 2019 to Jun 24, 2020
- Accounts · 2 to 1Mar 20, 2018 to Mar 29, 2019
- Private funds · 3 to 1Mar 20, 2018 to Mar 29, 2019
- Discretionary RAUM · $95.8M to $58.3MMar 20, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $95.8M to $58.3MMar 20, 2018 to Mar 29, 2019
- RAUM · $95.8M to $58.3MMar 20, 2018 to Mar 29, 2019
- Accounts · 3 to 2May 26, 2017 to Mar 20, 2018
- Business name · H••••• A•••• M••••••••• to C•••••••• A•••• M••••••••• L••••••May 26, 2017 to Mar 20, 2018
- Pooled vehicle clients · unset to 1.0May 26, 2017 to Mar 20, 2018
- Legal name · H••••• A•••• M••••••••• LTD. to C•••••••• A•••• M••••••••• L••••••May 26, 2017 to Mar 20, 2018
- Other offices · unset to 1.0May 26, 2017 to Mar 20, 2018
- Discretionary RAUM · $73.0M to $95.8MMay 26, 2017 to Mar 20, 2018
- Pooled vehicle RAUM · unset to 95792039.0May 26, 2017 to Mar 20, 2018
Signals
4 dated events
- C•••••••• A•••• M••••••••• L•••••• no longer on the SEC adviser roster (last listed 2026-04-01)May 1, 2026 · Left the SEC roster · derived
- R••• P••• (Chief Operating Officer) no longer on Schedule A of C•••••••• A•••• M••••••••• L•••••• (listed 2022-06-06, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- S•••••• R••••• G••••••• (Chief Compliance Officer) no longer on Schedule A of C•••••••• A•••• M••••••••• L•••••• (listed 2021-06-23, absent 2022-06-06)Jun 6, 2022 · Control person left · inference
- H••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Apr 11, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••••• A•••• M••••••••• L•••••• · Private Equityshared crd · organization
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