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.

SEC-registered adviser

C••••••• A••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 285328SEC 801-110048IAPD

Latest filing Mar 23, 2026

First filing on the tape Feb 17, 2017 · 14 filings

SEC status approved since Mar 9, 2017

RAUM

$708M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$708M as of Mar 23, 2026

Mar 30, 2018$239M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 30, 20180 then

Employees (5.A)8 as of Mar 23, 2026

Mar 30, 20188 then

Private funds2 as of Mar 23, 2026

Mar 30, 20182 then

RAUM +13% over the last fiscal year+0.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 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: $88.6MderivedRAUM 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: +13%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $679M, 3 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

Pooled investment vehicles$679M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 8reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $679M for 3 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.0 fund_share=0.96 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 departure Every arrival

Private funds

7 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
T•• C••••••• M••••• F••• L•••	Hedge Fund	$368M	28	Jul 7, 2017
T•• C••••••• O•••••• F••• L•	Hedge Fund	$319M	24	Jul 7, 2017
C••••••• L•no longer reported	Hedge Fund	$182M	97	Feb 17, 2017
C••••••• L•no longer reported	Hedge Fund	$146M	97	Feb 17, 2017
R•• B•••• H•••••• L••no longer reported	Hedge Fund	$35.0M	26	Feb 17, 2017
A••••••• P••••••• L•no longer reported	Hedge Fund	$17.7M	25	Feb 17, 2017
A•• I••••••••• L••no longer reported	Hedge Fund	$16.2M	15	Feb 17, 2017

Owners and control persons

Schedule A and B, latest filing

D••••••••• R••••••• •••• · Chief Compliance Officer And Chief Financial Officercontrol
since 01/2016 · owns less than 5%
T••••••••• K••••••• L••• · Cio And Membercontrol
since 03/2012 · owns 50% to 75%
C•••• T••••• F•••••• · Trusteecontrol
since 01/2022 · owns F of T•••• O• R•••••• J• L••••••••• U•• 1•••••••

Entity owners

T•••• O• R•••••• J• L••••••••• U•• 1••••••• · Member
indirect · owns 75% or more of 4• T•••••• L••
4• T•••••• L•• · Member
direct · owns 10% to 25%
R••••••• L•• · Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

C••••••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 6 to 8
Mar 25, 2025 to Mar 23, 2026
Assets in custody · $608M to $679M
Mar 25, 2025 to Mar 23, 2026
Discretionary RAUM · $628M to $708M
Mar 25, 2025 to Mar 23, 2026
Pooled vehicle RAUM · $608M to $679M
Mar 25, 2025 to Mar 23, 2026
RAUM · $628M to $708M
Mar 25, 2025 to Mar 23, 2026
Assets in custody · $688M to $608M
Mar 27, 2024 to Mar 25, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 25, 2025
Discretionary RAUM · $697M to $628M
Mar 27, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $688M to $608M
Mar 27, 2024 to Mar 25, 2025
RAUM · $697M to $628M
Mar 27, 2024 to Mar 25, 2025
Accounts · 5 to 6
Mar 24, 2023 to Mar 27, 2024
Assets in custody · $700M to $688M
Mar 24, 2023 to Mar 27, 2024
Discretionary RAUM · $708M to $697M
Mar 24, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $700M to $688M
Mar 24, 2023 to Mar 27, 2024
RAUM · $708M to $697M
Mar 24, 2023 to Mar 27, 2024
Assets in custody · $606M to $700M
Mar 30, 2022 to Mar 24, 2023
Discretionary RAUM · $616M to $708M
Mar 30, 2022 to Mar 24, 2023
Pooled vehicle RAUM · $606M to $700M
Mar 30, 2022 to Mar 24, 2023
RAUM · $616M to $708M
Mar 30, 2022 to Mar 24, 2023
Assets in custody · $460M to $606M
Mar 22, 2021 to Mar 30, 2022
Discretionary RAUM · $470M to $616M
Mar 22, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $460M to $606M
Mar 22, 2021 to Mar 30, 2022
RAUM · $470M to $616M
Mar 22, 2021 to Mar 30, 2022
Advisory employees · 8 to 7
Jul 7, 2020 to Mar 22, 2021
Pooled vehicle clients · 7 to 10
Jul 7, 2020 to Mar 22, 2021
Assets in custody · $368M to $460M
Jul 7, 2020 to Mar 22, 2021
Employees · 9 to 8
Jul 7, 2020 to Mar 22, 2021
Discretionary RAUM · $376M to $470M
Jul 7, 2020 to Mar 22, 2021
Pooled vehicle RAUM · $368M to $460M
Jul 7, 2020 to Mar 22, 2021
RAUM · $376M to $470M
Jul 7, 2020 to Mar 22, 2021
Assets in custody · $304M to $368M
Mar 26, 2019 to Mar 29, 2020
Discretionary RAUM · $315M to $376M
Mar 26, 2019 to Mar 29, 2020
Pooled vehicle RAUM · $304M to $368M
Mar 26, 2019 to Mar 29, 2020
RAUM · $315M to $376M
Mar 26, 2019 to Mar 29, 2020
Accounts · 4 to 5
Jun 4, 2018 to Mar 26, 2019
Advisory employees · 7 to 8
Jun 4, 2018 to Mar 26, 2019
Pooled vehicle clients · 8 to 7
Jun 4, 2018 to Mar 26, 2019
Assets in custody · $72.1M to $304M
Jun 4, 2018 to Mar 26, 2019
Employees · 8 to 9
Jun 4, 2018 to Mar 26, 2019
Discretionary RAUM · $239M to $315M
Jun 4, 2018 to Mar 26, 2019

Signals

5 dated events

C••••••• A••••••• L•• reported RAUM $616.2M, up 31% from $470.1M (2021-03-22 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived
Fedoruk Tanya Cook (Trustee) appeared on Schedule A of C••••••• A••••••• L••
Mar 30, 2022 · Control person joined · fact
Rolston Edgar Berner (Member) no longer on Schedule A of C••••••• A••••••• L•• (listed 2021-03-22, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
Olin Richard Berner (Managing Member) no longer on Schedule A of C••••••• A••••••• L•• (listed 2021-03-22, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
C••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
Feb 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.

How to reach

public business contact points only, each with its source

Principal office phone: 212-584-2100reportedpublic record, Form ADV, Mar 23, 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