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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 283492SEC 801-107669IAPD
Latest filing Mar 31, 2026
First filing on the tape Apr 4, 2016 · 21 filings
SEC status approved since Jun 27, 2016
RAUM
$4.5B
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
29
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$4.5B as of Mar 31, 2026
Mar 30, 2017$191M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20170 then
Employees (5.A)29 as of Mar 31, 2026
Mar 30, 201713 then
Private funds5 as of Mar 31, 2026
Mar 23, 20205 then
RAUM -2.8% over the last fiscal year-0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
$755MderivedRAUM 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
-2.8%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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• P•••••••• L•••Hedge Fund$1.6B361Jan 30, 2012
      A••••• C••••••••• F•••• L•••Hedge Fund$1.4B324Jan 30, 2012
      A••••• I••••••••• P•••••••• L•••Hedge Fund$1.1B99Jan 30, 2012
      A••••• C••••••••• M••••• F••• ••••••••• L•••Hedge Fund$423M63Feb 12, 2018
      A••••• I• P•••••••• L•••Hedge Fund$106M97Jan 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• G•••••• · Managing Membercontrol
        since 04/2000 · owns 75% or more
      • D•••••• P••••••• L•••• · Chief Financial Officercontrol
        since 07/2018 · owns less than 5%
      • L••••••••• Y•• D•• · Chief Compliance Officercontrol
        since 03/2022 · owns less than 5%
      • R•••• J•••••••• E• · Chief Operating Officercontrol
        since 09/2023 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• M••••••••• L••
        bankpooled vehicle sponsorn
      Advisers that list C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 8
        Mar 28, 2025 to Mar 31, 2026
      • Discretionary RAUM · $4.7B to $4.5B
        Mar 28, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $4.7B to $4.5B
        Mar 28, 2025 to Mar 31, 2026
      • RAUM · $4.7B to $4.5B
        Mar 28, 2025 to Mar 31, 2026
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 28, 2025
      • Discretionary RAUM · $4.6B to $4.7B
        Mar 27, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $4.6B to $4.7B
        Mar 27, 2024 to Mar 28, 2025
      • RAUM · $4.6B to $4.7B
        Mar 27, 2024 to Mar 28, 2025
      • Advisory employees · 10 to 9
        Dec 11, 2023 to Mar 27, 2024
      • Employees · 31 to 29
        Dec 11, 2023 to Mar 27, 2024
      • Discretionary RAUM · $4.6B to $4.6B
        Dec 11, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $4.6B to $4.6B
        Dec 11, 2023 to Mar 27, 2024
      • RAUM · $4.6B to $4.6B
        Dec 11, 2023 to Mar 27, 2024
      • Advisory employees · 9 to 10
        Mar 30, 2022 to Mar 31, 2023
      • Employees · 32 to 31
        Mar 30, 2022 to Mar 31, 2023
      • Discretionary RAUM · $6.9B to $4.6B
        Mar 30, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $6.9B to $4.6B
        Mar 30, 2022 to Mar 31, 2023
      • RAUM · $6.9B to $4.6B
        Mar 30, 2022 to Mar 31, 2023
      • Employees · 31 to 32
        Mar 18, 2021 to Mar 30, 2022
      • Discretionary RAUM · $7.7B to $6.9B
        Mar 18, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $7.7B to $6.9B
        Mar 18, 2021 to Mar 30, 2022
      • RAUM · $7.7B to $6.9B
        Mar 18, 2021 to Mar 30, 2022
      • Accounts · 5 to 6
        Mar 23, 2020 to Mar 18, 2021
      • Advisory employees · 10 to 9
        Mar 23, 2020 to Mar 18, 2021
      • BD registered reps · 2 to 0
        Mar 23, 2020 to Mar 18, 2021
      • Pooled vehicle clients · 5 to 6
        Mar 23, 2020 to Mar 18, 2021
      • Discretionary RAUM · $6.7B to $7.7B
        Mar 23, 2020 to Mar 18, 2021
      • Pooled vehicle RAUM · $6.7B to $7.7B
        Mar 23, 2020 to Mar 18, 2021
      • RAUM · $6.7B to $7.7B
        Mar 23, 2020 to Mar 18, 2021
      • Advisory employees · 8 to 10
        Jan 3, 2020 to Mar 23, 2020
      • BD registered reps · 7 to 2
        Jan 3, 2020 to Mar 23, 2020
      • Discretionary RAUM · $6.8B to $6.7B
        Jan 3, 2020 to Mar 23, 2020
      • Pooled vehicle RAUM · $6.8B to $6.7B
        Jan 3, 2020 to Mar 23, 2020
      • RAUM · $6.8B to $6.7B
        Jan 3, 2020 to Mar 23, 2020
      • Accounts · 1 to 5
        Mar 29, 2019 to Jun 17, 2019
      • BD registered reps · 5 to 7
        Mar 29, 2019 to Jun 17, 2019
      • Pooled vehicle clients · 1 to 5
        Mar 29, 2019 to Jun 17, 2019
      • Employees · 12 to 31
        Mar 29, 2019 to Jun 17, 2019
      • Private funds · unset to 5
        Mar 29, 2019 to Jun 17, 2019
      • Discretionary RAUM · $0 to $6.8B
        Mar 29, 2019 to Jun 17, 2019
      Signals
      9 dated events
      • Dearholt Wendy Goodrich (Chief Operating Officer) no longer on Schedule A of C•••••• M••••••••• L•• (listed 2023-12-11, absent 2024-03-27)
        Mar 27, 2024 · Control person left · inference
      • E Jennifer R••• (Chief Operating Officer) appeared on Schedule A of C•••••• M••••••••• L••
        Mar 27, 2024 · Control person joined · fact
      • C•••••• M••••••••• L•• reported RAUM $4.6B, down 33% from $6.9B (2022-03-30 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Yau Dun Lee (Chief Compliance Officer) appeared on Schedule A of C•••••• M••••••••• L••
        Mar 30, 2022 · Control person joined · fact
      • Dearholt Wendy Goodrich (Chief Operating Officer) appeared on Schedule A of C•••••• M••••••••• L••
        Mar 30, 2022 · Control person joined · fact
      • L•••• P•••••• D••••• (Chief Financial Officer) appeared on Schedule A of C•••••• M••••••••• L••
        Mar 30, 2022 · Control person joined · fact
      • C•••••• M••••••••• L•• reported RAUM $6.8B, up 1998% from $324.4M (2019-03-29 to 2019-06-17)
        Jun 17, 2019 · RAUM change · derived
      • C•••••• M••••••••• L•• reported RAUM $311.5M, up 63% from $191.5M (2017-03-30 to 2018-03-31)
        Mar 31, 2018 · RAUM change · derived
      • C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 4, 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      212-832-5280reportedpublic record, Form ADV, Mar 31, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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