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••• I•••••••••

Former SEC-registered adviserLondon, CRD 283408SEC 801-108423IAPD
Legal name C•••• L••• I••••••••• L••
Latest filing Apr 5, 2019
First filing on the tape Sep 13, 2016 · 6 filings
RAUM
$3.2B
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$3.2B gross assets
History
6 filings and snapshots on the tape
RAUM$3.2B as of Apr 5, 2019
Mar 10, 2017$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 5, 2019
Mar 10, 20170 then
Employees (5.A)3 as of Apr 5, 2019
Mar 10, 20172 then
Private funds8 as of Apr 5, 2019
Mar 10, 20175 then
RAUM +32% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 5, 2019; 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
$401MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+32%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 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.2B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• C•• I• B•••Securitized Asset Fund$471M1Apr 5, 2019
      C•••• C•• X• B•••Securitized Asset Fund$429M1Apr 5, 2019
      C•••• C•• V•• B•••Securitized Asset Fund$415M1Mar 10, 2017
      C•••• C•• V• B•••Securitized Asset Fund$415M1Sep 13, 2016
      C•••• C•• V••• B•••Securitized Asset Fund$414M1Mar 26, 2018
      C•••• C•• V• B•••Securitized Asset Fund$357M1Sep 13, 2016
      C•••• C•• I• B•••Securitized Asset Fund$354M1Sep 13, 2016
      C•••• C•• I•• B•••Securitized Asset Fund$351M1Sep 13, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• S•••••••• L•••• · Chief Financial Officercontrol
        since 10/2016 · owns less than 5%
      • B••••••• C••••••••• R••••• · Chief Operations Officercontrol
        since 12/2014 · owns less than 5%
      • P••••••• C••••• R•••••• · Member Of Partnership Boardcontrol
        since 11/2014 · owns less than 5%
      • P••••• J••••• R••••• · Member Of Partnership Board And Chief Compliance Officercontrol
        since 10/2014 · owns less than 5%
      • S•••••• J••••• T••••••••• · Chief Legal Officercontrol
        since 12/2014 · owns less than 5%
      • W•••••• J•••• S•••••• · Member Of Partnership Boardcontrol
        since 11/2014 · owns less than 5%
      Entity owners
      • Y••••••••• L•• · Member
        direct · owns 25% to 50%
      • S•• B••••••••• C••••• E••••••••• R••••••••• A••••••••• · Sole Shareholder
        indirect · owns 75% or more of Gold Coast Global Limited
      • S•• M••••• B••• O• M•••••• I•••••• · Sole Shareholder
        indirect · owns 75% or more of Y••••••••• L••
      • M••••••••• S••••• · Member
        direct · owns 10% to 25%
      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 · 6 to 8
        Mar 26, 2018 to Apr 5, 2019
      • Pooled vehicle clients · 6 to 8
        Mar 26, 2018 to Apr 5, 2019
      • Private funds · 6 to 8
        Mar 26, 2018 to Apr 5, 2019
      • Discretionary RAUM · $2.4B to $3.2B
        Mar 26, 2018 to Apr 5, 2019
      • Pooled vehicle RAUM · $2.4B to $3.2B
        Mar 26, 2018 to Apr 5, 2019
      • RAUM · $2.4B to $3.2B
        Mar 26, 2018 to Apr 5, 2019
      • Accounts · 5 to 6
        Mar 10, 2017 to Mar 26, 2018
      • Advisory employees · 2 to 3
        Mar 10, 2017 to Mar 26, 2018
      • Charity clients · unset to 0.0
        Mar 10, 2017 to Mar 26, 2018
      • Corporate clients · unset to 0.0
        Mar 10, 2017 to Mar 26, 2018
      • HNW clients · unset to 0.0
        Mar 10, 2017 to Mar 26, 2018
      • Individual clients · unset to 0.0
        Mar 10, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 0.0
        Mar 10, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 6.0
        Mar 10, 2017 to Mar 26, 2018
      • Employees · 2 to 3
        Mar 10, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 10, 2017 to Mar 26, 2018
      • Private funds · 5 to 6
        Mar 10, 2017 to Mar 26, 2018
      • Discretionary RAUM · $1.8B to $2.4B
        Mar 10, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 2419571764.0
        Mar 10, 2017 to Mar 26, 2018
      • RAUM · $1.8B to $2.4B
        Mar 10, 2017 to Mar 26, 2018
      • Accounts · 4 to 5
        Oct 13, 2016 to Mar 10, 2017
      • Private funds · 4 to 5
        Oct 13, 2016 to Mar 10, 2017
      • Discretionary RAUM · $1.3B to $1.8B
        Oct 13, 2016 to Mar 10, 2017
      • RAUM · $1.3B to $1.8B
        Oct 13, 2016 to Mar 10, 2017
      Signals
      3 dated events
      • C•••• L••• I••••••••• reported RAUM $3.2B, up 32% from $2.4B (2018-03-26 to 2019-04-05)
        Apr 5, 2019 · RAUM change · derived
      • C•••• L••• I••••••••• reported RAUM $2.4B, up 36% from $1.8B (2017-03-10 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      • C•••• L••• I••••••••• filed its initial SEC registration (Form ADV)
        Sep 13, 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