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••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 284627SEC 801-110470IAPD
Latest filing Mar 28, 2022
First filing on the tape Apr 17, 2017 · 12 filings
RAUM
$278M
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
44
32 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
4
$242M gross assets
History
12 filings and snapshots on the tape
RAUM$278M as of Mar 28, 2022
Mar 30, 2018$6.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Mar 30, 20180 then
Employees (5.A)44 as of Mar 28, 2022
Mar 30, 201820 then
Private funds4 as of Mar 28, 2022
Mar 30, 20184 then
RAUM -98% over the last fiscal year-70% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2022; 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
$55.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-98%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 businesses and institutions, 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$242M87%
  • Insurance companies$36.2M13%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• F•••••• L••no longer reportedSecuritized Asset Fund$461M1Mar 29, 2019
      B•••••• L••Securitized Asset Fund$279M1Mar 30, 2020
      P•••• F•••••• 2• L••no longer reportedSecuritized Asset Fund$223M1Mar 29, 2019
      C••• C••••• O••••••••• M••••• F•••• L•Hedge Fund$117M12Mar 31, 2021
      C••• E••••• F•••• L•Hedge Fund$58.3M7Mar 30, 2020
      C••• S••• F•••• L•Hedge Fund$53.7M2Mar 28, 2022
      C••• 2••••••• L••Securitized Asset Fund$12.7M2Mar 30, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• P••••• G••••• · Chief Compliance Officercontrol
        since 01/2022 · owns less than 5%
      • D•••••• M••••••• P•••• · Partnercontrol
        since 03/2017 · owns less than 5%
      • F••••••• A•••• B•••• · General Counselcontrol
        since 03/2020 · owns less than 5%
      • G••••••• I•• J•••• H•••• · Managing Directorcontrol
        since 03/2017 · owns less than 5%
      • Y••••• D•••••• C••••• · Partnercontrol
        since 03/2017 · owns less than 5%
      • B•••••• T•••• L••••••• · Membercontrol
        since 11/2014 · owns 75% or more of N•• C•••••• L••
      • D•••••• M••••••• P•••• · Membercontrol
        since 12/2017 · owns 75% or more of B••••••• L••
      • Y••••• D•••••• C••••• · Membercontrol
        since 12/2017 · owns 25% to 50% of C••• M••••••••• L••
      • S••••••• B•••••••• J••• · Director Of Finance
        since 01/2019 · owns less than 5%
      Entity owners
      • C••• H••••••• L•• · Sole Managing Member
        direct · owns 75% or more
      • C••• P•••••••• L•• · Sole Managing Member - C••• Clo Management LLC (Relying Adviser)
        direct · owns 75% or more
      • B••••••• L•• · Member
        indirect · owns 25% to 50% of C••• M••••••••• L••
      • E••••••• A• H•••••••• L•• · Member
        indirect · owns 50% to 75% of C••• H••••••• L••
      • E••••••• I••••••••• L•• · Member
        indirect · owns 75% or more of E••••••• A• H•••••••• L••
      • N•• C•••••• L•• · Member
        indirect · owns 75% or more of S•• I•••••••• L••
      • S•• I•••••••• L•• · Member
        indirect · owns 75% or more of E••••••• I••••••••• L••
      • C••• M••••••••• H•••••••• L•• · Member
        indirect · owns 25% to 50% of C••• M••••••••• L••
      • C••• M••••••••• L•• · Member
        indirect · owns 25% to 50% of C••• H••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Paris, France6 employees
      • Greenwich, CT5 employees
      • Charleston, SC1 employees
      • West Hollywood, CA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 25 to 5
        Mar 31, 2021 to Mar 28, 2022
      • Advisory employees · 31 to 32
        Mar 31, 2021 to Mar 28, 2022
      • Pooled vehicle clients · 19 to 4
        Mar 31, 2021 to Mar 28, 2022
      • Employees · 42 to 44
        Mar 31, 2021 to Mar 28, 2022
      • Private funds · 19 to 4
        Mar 31, 2021 to Mar 28, 2022
      • Discretionary RAUM · $14B to $278M
        Mar 31, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $12B to $242M
        Mar 31, 2021 to Mar 28, 2022
      • RAUM · $14B to $278M
        Mar 31, 2021 to Mar 28, 2022
      • Accounts · 21 to 25
        Jun 4, 2020 to Mar 31, 2021
      • Advisory employees · 24 to 31
        Jun 4, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 16 to 19
        Jun 4, 2020 to Mar 31, 2021
      • Assets in custody · 964564162.0 to unset
        Jun 4, 2020 to Mar 31, 2021
      • Custody of client assets · true to false
        Jun 4, 2020 to Mar 31, 2021
      • Employees · 34 to 42
        Jun 4, 2020 to Mar 31, 2021
      • Other offices · 3 to 4
        Jun 4, 2020 to Mar 31, 2021
      • Private funds · 16 to 19
        Jun 4, 2020 to Mar 31, 2021
      • Discretionary RAUM · $11B to $14B
        Jun 4, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $9.9B to $12B
        Jun 4, 2020 to Mar 31, 2021
      • RAUM · $11B to $14B
        Jun 4, 2020 to Mar 31, 2021
      • Discretionary RAUM · $11B to $11B
        Mar 30, 2020 to Jun 4, 2020
      • Pooled vehicle RAUM · $9.9B to $9.9B
        Mar 30, 2020 to Jun 4, 2020
      • RAUM · $11B to $11B
        Mar 30, 2020 to Jun 4, 2020
      • Accounts · 16 to 21
        Apr 12, 2019 to Mar 30, 2020
      • Advisory employees · 22 to 24
        Apr 12, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 11 to 16
        Apr 12, 2019 to Mar 30, 2020
      • Assets in custody · $972M to $965M
        Apr 12, 2019 to Mar 30, 2020
      • Employees · 26 to 34
        Apr 12, 2019 to Mar 30, 2020
      • Other offices · 2 to 3
        Apr 12, 2019 to Mar 30, 2020
      • Private funds · 11 to 16
        Apr 12, 2019 to Mar 30, 2020
      • Discretionary RAUM · $11B to $11B
        Apr 12, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $9.2B to $9.9B
        Apr 12, 2019 to Mar 30, 2020
      • RAUM · $11B to $11B
        Apr 12, 2019 to Mar 30, 2020
      • Discretionary RAUM · $10B to $11B
        Mar 29, 2019 to Apr 12, 2019
      • Pooled vehicle RAUM · $9.1B to $9.2B
        Mar 29, 2019 to Apr 12, 2019
      • RAUM · $10B to $11B
        Mar 29, 2019 to Apr 12, 2019
      • Accounts · 15 to 16
        Nov 14, 2018 to Mar 29, 2019
      • Advisory employees · 17 to 22
        Nov 14, 2018 to Mar 29, 2019
      • Corporate clients · 8 to 0
        Nov 14, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 4 to 11
        Nov 14, 2018 to Mar 29, 2019
      • Assets in custody · $509M to $972M
        Nov 14, 2018 to Mar 29, 2019
      Signals
      5 dated events
      • C••• P•••••••• L•• reported RAUM $278.1M, down 98% from $13.8B (2021-03-31 to 2022-03-28)
        Mar 28, 2022 · RAUM change · derived
      • George Peter Cohen (Chief Compliance Officer) appeared on Schedule A of C••• P•••••••• L••
        Mar 28, 2022 · Control person joined · fact
      • C••• P•••••••• L•• reported RAUM $10.4B, up 52% from $6.9B (2018-11-14 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • C••• P•••••••• L•• reported RAUM $6.9B, up 118% from $3.2B (2018-01-04 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • C•••• B••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 17, 2017 · 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