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

H••• C•••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 284651SEC 801-110602IAPD
Latest filing Mar 30, 2021
First filing on the tape May 11, 2017 · 9 filings
RAUM
$255M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$255M as of Mar 30, 2021
Mar 29, 2018$248M then
HNW client RAUM$0 as of Mar 30, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 29, 20180 then
Employees (5.A)4 as of Mar 30, 2021
Mar 29, 20186 then
Private funds1 as of Mar 16, 2020
Mar 29, 20181 then
RAUM -35% over the last fiscal year+1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
$51.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.4%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
-35%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$249M98%
  • Pension and profit-sharing plans$6.1M2.4%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• O••••••••• M••••• F•••Hedge Fund$16.2M15Aug 19, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• J••••• A••• · Cco, General Counselcontrol
        since 09/2015 · owns less than 5%
      • N••••• J••••••• · Designated Membercontrol
        since 09/2015 · owns less than 5%
      • P••••• R•••• · Head Of Operationscontrol
        since 09/2015 · owns less than 5%
      • P•••••••• E•••• · Designated Membercontrol
        since 12/2013 · owns less than 5%
      • R••••••••• T•••••• E••• · Membercontrol
        since 07/2015 · owns less than 5%
      Entity owners
      • C• P••••••• S••••••• ••• L•••••• · Designated Member
        direct · owns 75% or more
      • D•••• H••••••• L•••••• · Shareholder Of D•••• I••••••••• L••••••
        indirect · owns 50% to 75% of D•••• I••••••••• L••••••
      • D•••• I••••••••• L•••••• · Shareholder Of C• P••••••• S••••••• ••• L••••••
        indirect · owns 50% to 75% of C• P••••••• S••••••• ••• L••••••
      • N••••••• L•••• C•••••• L•••••• · Shareholder Of C• P••••••• S••••••• ••• L••••••
        indirect · owns 50% to 75% of C• P••••••• S••••••• ••• L••••••
      • N••••••• L•••• H••••••• L•••••• · Shareholder Of N••••••• L•••• C•••••• L••••••
        indirect · owns 50% to 75% of N••••••• L•••• C•••••• L••••••
      • V• C•••••••• T•••••• L•••••• · T•••••• Of The N•••• 2011 Settlement
        indirect · owns F of D•••• H••••••• L••••••
      • V• C•••••••• T•••••• L•••••• · T•••••• Of The R•••••••• 2011 Settlement
        indirect · owns F of N••••••• L•••• H••••••• L••••••
      • V• H•••••• L•••••• · Shareholder Of V• T•••• A•• C•••••••• S••••••• L••••••
        indirect · owns 75% or more of V• T•••• A•• C•••••••• S••••••• L••••••
      • V• T•••• A•• C•••••••• S••••••• L•••••• · Shareholder Of V• C•••••••• T•••••• L••••••
        indirect · owns 75% or more of V• C•••••••• T•••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list H••• 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
      • Accounts · 9 to 5
        Jul 20, 2020 to Mar 30, 2021
      • Advisory employees · 2 to 1
        Jul 20, 2020 to Mar 30, 2021
      • Charity clients · unset to 0.0
        Jul 20, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 3 to 0
        Jul 20, 2020 to Mar 30, 2021
      • Employees · 6 to 4
        Jul 20, 2020 to Mar 30, 2021
      • Private funds · 1 to unset
        Jul 20, 2020 to Mar 30, 2021
      • Discretionary RAUM · $394M to $255M
        Jul 20, 2020 to Mar 30, 2021
      • Pension RAUM · $30.8M to $6.1M
        Jul 20, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $35.5M to $0
        Jul 20, 2020 to Mar 30, 2021
      • RAUM · $394M to $255M
        Jul 20, 2020 to Mar 30, 2021
      • Business name · C• P••••••• C•••••• M••••••••• L•• to H••• C•••••• M••••••••• L••
        Jul 11, 2020 to Jul 20, 2020
      • Legal name · C• P••••••• C•••••• M••••••••• L•• to H••• C•••••• M••••••••• L••
        Jul 11, 2020 to Jul 20, 2020
      • Accounts · 6 to 9
        Mar 26, 2019 to Mar 16, 2020
      • Pooled vehicle clients · 4 to 3
        Mar 26, 2019 to Mar 16, 2020
      • Discretionary RAUM · $240M to $394M
        Mar 26, 2019 to Mar 16, 2020
      • Pension RAUM · $46.1M to $30.8M
        Mar 26, 2019 to Mar 16, 2020
      • Pooled vehicle RAUM · $69.0M to $35.5M
        Mar 26, 2019 to Mar 16, 2020
      • RAUM · $240M to $394M
        Mar 26, 2019 to Mar 16, 2020
      • Discretionary RAUM · $248M to $240M
        Mar 29, 2018 to Mar 26, 2019
      • Pension RAUM · $30.2M to $46.1M
        Mar 29, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $96.1M to $69.0M
        Mar 29, 2018 to Mar 26, 2019
      • RAUM · $248M to $240M
        Mar 29, 2018 to Mar 26, 2019
      • Accounts · 1 to 6
        May 23, 2017 to Mar 29, 2018
      • Advisory activities · 1 to 2
        May 23, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        May 23, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        May 23, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        May 23, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 4.0
        May 23, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 23, 2017 to Mar 29, 2018
      • Discretionary RAUM · $25.1M to $248M
        May 23, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        May 23, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        May 23, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 30245199.0
        May 23, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 96090285.0
        May 23, 2017 to Mar 29, 2018
      • RAUM · $25.1M to $248M
        May 23, 2017 to Mar 29, 2018
      • Private funds · 2 to 1
        May 11, 2017 to May 11, 2017
      Signals
      3 dated events
      • H••• C•••••• M••••••••• L•• reported RAUM $255.0M, down 35% from $393.8M (2020-07-20 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • H••• C•••••• M••••••••• L•• reported RAUM $393.8M, up 64% from $240.1M (2019-03-26 to 2020-03-16)
        Mar 16, 2020 · RAUM change · derived
      • C• P••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 11, 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