DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• L••• C•••••• L•

Former SEC-registered adviserNew York, New YorkCRD 283697SEC 801-107797IAPD
Latest filing Sep 16, 2016
First filing on the tape May 2, 2016 · 4 filings
RAUM
$36.7M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$35.7M gross assets
History
4 filings and snapshots on the tape
RAUM: $36.7M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 16, 2016
May 2, 20160 then
Employees (5.A)2 as of Sep 16, 2016
May 2, 20162 then
Private funds: 3
Practice profile
derived from the filing of Sep 16, 2016; 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
$9.2MderivedRAUM 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
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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$36.7M, 4 clientsreportedItem 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$36.7M for 4 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• L••• M••••• F•••• L•Hedge Fund$17.9M15Sep 16, 2016
      C••••• L••• F•••• L•••Hedge Fund$9.3M4Sep 16, 2016
      C••••• L••• F••• L•Hedge Fund$8.5M11Sep 16, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• S•••••• R•••••• · Chief Compliance Officer And Limited Partnercontrol
        since 04/2016 · owns 25% to 50%
      • S••••••• C••••• E••• · Portfolio Manager And Limited Partnercontrol
        since 04/2016 · owns 50% to 75%
      • F•••••• S•••••• R•••••• · Membercontrol
        since 04/2016 · owns 25% to 50% of C••••• L••• C•••••• L••
      • S••••••• C••••• E••• · Managing Membercontrol
        since 04/2016 · owns 50% to 75% of C••••• L••• C•••••• L••
      Entity owners
      • C••••• L••• C•••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••• L••• C•••••• L••
        pooled vehicle sponsory
      • C••••• L••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 4.0
        May 12, 2016 to Sep 16, 2016
      • Assets in custody · unset to 36659277.0
        May 12, 2016 to Sep 16, 2016
      • Custody of client assets · false to true
        May 12, 2016 to Sep 16, 2016
      • Private funds · unset to 3
        May 12, 2016 to Sep 16, 2016
      • Discretionary RAUM · unset to 36659052.0
        May 12, 2016 to Sep 16, 2016
      • Non-discretionary RAUM · unset to 0.0
        May 12, 2016 to Sep 16, 2016
      • RAUM · unset to 36659052.0
        May 12, 2016 to Sep 16, 2016
      Signals
      1 dated events
      • C••••• L••• C•••••• L• filed its initial SEC registration (Form ADV)
        May 2, 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