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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••• S••••• A•••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Sep 12, 2018 · 13 filings
SEC status approved since Oct 11, 2018
RAUM
$938M
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
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$938M as of Mar 19, 2026
Mar 15, 2019$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 15, 20190 then
Employees (5.A)11 as of Mar 19, 2026
Mar 15, 20198 then
Private funds3 as of Mar 19, 2026
Mar 15, 20192 then
RAUM +61% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $117MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 39%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
- +61%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $339M, 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)
- 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$339M36%
- Sovereign wealth funds$305M33%
- Investment companies$179M19%
- Charitable organizations$62.2M6.6%
- Other investment advisers$53.1M5.7%
- 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
- $339M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.61 institutional_share=0.39 related_bd=false related_bank=false 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• S••••• I••••••••• S•••• C•• F••• L••• | Other Private Fund | $172M | 38 | Mar 31, 2017 |
| C•••• S••••• E••••••• M•••••• V•••• F•••• L••• | Other Private Fund | $81.2M | 29 | Dec 5, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••••• P••• · Managing Membercontrolsince 03/2020 · owns 50% to 75%
- M••••••••• J•••••• H•••••• · Chief Compliance Officercontrolsince 04/2018 · owns less than 5%
- P•••••• S•••••• H••• · Chief Operating Officercontrolsince 10/2021 · owns less than 5%
- M••••• W•••••••• A•••••• · Managing Membersince 03/2020 · owns 10% to 25%
Entity owners
- M•••• J• L•••••• P••••••••• · Memberdirect · owns 10% to 25%
- C•••• F••••• T•••• · L•••••• Partnerindirect · owns 25% to 50% of M•••• J• T••••
- M•••• J• T•••• · General Partnerindirect · owns F of M•••• J• L•••••• P•••••••••
- T••••• F••••• T•••• · L•••••• Partnerindirect · owns 25% to 50% of M•••• J• T••••
- W••••••••• F••••• T•••• · L•••••• Partnerindirect · owns 25% to 50% of M•••• J• T••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 19, 2026institutional share of RAUM of 39% against a peer median of 0% (784 comparable advisers, 100.0th percentile, 13.2 robust deviations)peers: asset managers, $500M to $1B (784) · 100% percentile
- institutional asset share shiftChange between filings · filing Mar 19, 2026institutional share of RAUM moved from 17.0% to 45.0% between the annual amendments of 2025-03-25 and 2026-03-19peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Assets in custody · $284M to $339MMar 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $583M to $938MMar 25, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $284M to $339MMar 25, 2025 to Mar 19, 2026
- RAUM · $583M to $938MMar 25, 2025 to Mar 19, 2026
- Accounts · 6 to 8Mar 18, 2024 to Mar 25, 2025
- Pooled vehicle clients · 2 to 3Mar 18, 2024 to Mar 25, 2025
- Assets in custody · $253M to $284MMar 18, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 25, 2025
- Private funds · 2 to 3Mar 18, 2024 to Mar 25, 2025
- Discretionary RAUM · $633M to $583MMar 18, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $253M to $284MMar 18, 2024 to Mar 25, 2025
- RAUM · $633M to $583MMar 18, 2024 to Mar 25, 2025
- Accounts · 5 to 6Mar 27, 2023 to Mar 18, 2024
- Assets in custody · $213M to $253MMar 27, 2023 to Mar 18, 2024
- Discretionary RAUM · $400M to $633MMar 27, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $213M to $253MMar 27, 2023 to Mar 18, 2024
- RAUM · $400M to $633MMar 27, 2023 to Mar 18, 2024
- Accounts · 3 to 5Mar 18, 2022 to Mar 27, 2023
- Advisory activities · 2 to 3Mar 18, 2022 to Mar 27, 2023
- Assets in custody · $222M to $213MMar 18, 2022 to Mar 27, 2023
- Employees · 10 to 11Mar 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $284M to $400MMar 18, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $222M to $213MMar 18, 2022 to Mar 27, 2023
- RAUM · $284M to $400MMar 18, 2022 to Mar 27, 2023
- Related adviser · true to falseMar 18, 2022 to Mar 27, 2023
- Assets in custody · $200M to $222MMar 17, 2021 to Mar 18, 2022
- Discretionary RAUM · $239M to $284MMar 17, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $200M to $222MMar 17, 2021 to Mar 18, 2022
- RAUM · $239M to $284MMar 17, 2021 to Mar 18, 2022
- Accounts · 4 to 3Dec 11, 2020 to Mar 17, 2021
- Pooled vehicle clients · 3 to 2Dec 11, 2020 to Mar 17, 2021
- Assets in custody · $196M to $200MDec 11, 2020 to Mar 17, 2021
- Employees · 8 to 10Dec 11, 2020 to Mar 17, 2021
- Discretionary RAUM · $267M to $239MDec 11, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $225M to $200MDec 11, 2020 to Mar 17, 2021
- RAUM · $267M to $239MDec 11, 2020 to Mar 17, 2021
- Related adviser · false to trueJun 5, 2020 to Dec 11, 2020
- Accounts · 3 to 4Apr 29, 2019 to Mar 27, 2020
- Advisory activities · 1 to 2Apr 29, 2019 to Mar 27, 2020
- Assets in custody · $139M to $196MApr 29, 2019 to Mar 27, 2020
Signals
6 dated events
- C•••• S••••• A•••• M••••••••• L•• reported RAUM $938.4M, up 61% from $583.2M (2025-03-25 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- C•••• S••••• A•••• M••••••••• L•• reported RAUM $632.8M, up 58% from $399.6M (2023-03-27 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- C•••• S••••• A•••• M••••••••• L•• reported RAUM $399.6M, up 41% from $283.8M (2022-03-18 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- H••• S••••• P••••• (Chief Operating Officer) appeared on Schedule A of C•••• S••••• A•••• M••••••••• L••Mar 18, 2022 · Control person joined · fact
- C•••• S••••• A•••• M••••••••• L•• reported RAUM $266.9M, up 66% from $161.0M (2019-04-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- C•••• S••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 12, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• S••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C••••-S•••••-ASSET-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••S•••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-796-3130reportedpublic record, Form ADV, Mar 19, 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