DFX Intelligence
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C•••••• A•••••• L••
Former SEC-registered adviserFormer SEC adviser
Former SEC-registered adviser, reporting $3.3M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Last reported RAUM
- $3.3M
- Advisors
- Not applicable
- Net advisor flow, 12 months
- Not applicable
- RAUM change, last fiscal year
- +162%
- Private clients
- 0.0% of RAUM
Form ADV
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $1.2MRAUM now $3.3M
Every filed figure, and the identifiersCRD 283513 · SEC 801-107801 · 8 filingsShowHide
RAUM
$3.3M
reported, Item 5.F
Discretionary
0.0%
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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.3M as of Mar 30, 2020
Mar 31, 2017$1.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 31, 20170 then
Employees (5.A)5 as of Mar 30, 2020
Mar 31, 201740 then
Private funds: no history
RAUM +162% over the last fiscal year+38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $813,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +162%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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$3.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• Z••• · Chief Operation Officercontrolsince 05/2015 · owns 75% or more
- L••• Z••• · Directorcontrolsince 05/2015 · owns 75% or more of C•••••• A•••••• G••••, Inc
- J••••• X••• M••• · Chief Compliance Officersince 05/2015 · owns less than 5%
- L••• J•••• · Chief Financial Officersince 05/2015 · owns less than 5%
Entity owners
- C•••••• A•••••• G••••• I••• · Exempted Companydirect · owns 75% or more
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 · 26 to 4Mar 31, 2019 to Mar 30, 2020
- Advisory employees · 5 to 1Mar 31, 2019 to Mar 30, 2020
- Pooled vehicle clients · 1 to 4Mar 31, 2019 to Mar 30, 2020
- Employees · 40 to 5Mar 31, 2019 to Mar 30, 2020
- Financial planning clients · 26-50 to 0Mar 31, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.2M to $0Mar 31, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $0 to $3.3MMar 31, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.2M to $3.3MMar 31, 2019 to Mar 30, 2020
- RAUM · $1.2M to $3.3MMar 31, 2019 to Mar 30, 2020
- Accounts · 1 to 26Apr 24, 2018 to Mar 31, 2019
- Accounts · 8 to 1Mar 31, 2017 to Apr 24, 2018
- Advisory activities · 3 to 1Mar 31, 2017 to Apr 24, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Apr 24, 2018
- Financial planning clients · 1-10 to 26-50Mar 31, 2017 to Apr 24, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Apr 24, 2018
- Discretionary RAUM · $0 to $1.2MMar 31, 2017 to Apr 24, 2018
- Non-discretionary RAUM · $1.2M to $0Mar 31, 2017 to Apr 24, 2018
- Pooled vehicle RAUM · unset to 1242540.0Mar 31, 2017 to Apr 24, 2018
Signals
1 dated events
- ••• LockedMay 3, 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