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•••••••• A•••• M••••••••• L••
Latest filing Aug 11, 2023
First filing on the tape Feb 1, 2017 · 22 filings
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.9%
$14.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$138M gross assets
History
22 filings and snapshots on the tape
RAUM$185M as of Mar 14, 2023
Mar 29, 2018$171M then
HNW client RAUM$14.5M as of Mar 14, 2023
Mar 29, 2018$30.3M then
State-registered IARs (5.B.3)0 as of Mar 14, 2023
Mar 29, 20180 then
Employees (5.A)6 as of Mar 14, 2023
Mar 29, 20185 then
Private funds6 as of Mar 14, 2023
Mar 29, 20191 then
RAUM -17% over the last fiscal year-12% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Aug 11, 2023; 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
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $7.4MderivedRAUM 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
- -17%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $104M, 8 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
- 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)
- 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$138M75%
- Corporations and businesses$31.7M17%
- High-net-worth individuals$14.5M7.9%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 8 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
- C••••••• C••••••• A••••• to C••••• C•••••• G••••• I•••Dec 31, 2021 · Other
Joined, latest
- C••••••• C••••••• A••••• from M••• C•••••• M••••••••• L••Aug 30, 2019 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• C••••••• F•••••• F••• I•• | Other Private Fund | $34.0M | 10 | Mar 29, 2022 |
| C•• A••••••••• C•••••• S•••••••• L•• | Other Private Fund | $18.9M | 2 | Mar 29, 2022 |
| C•• S•••••••• L•••••• 3• L••• | Other Private Fund | $11.9M | 1 | Mar 14, 2023 |
| C•• S•••••••• L•••••• 2• L••• | Other Private Fund | $8.1M | 1 | Mar 14, 2023 |
| C•• S•••••••• L•••••• 1• L••• | Other Private Fund | $7.1M | 1 | Mar 14, 2023 |
| P••• S•••••• S••••••••• P•••••• C••••• F•••• L•• | Other Private Fund | $6.0M | 110 | Oct 3, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D••••• J••••••• G•••••• · Managing Membercontrolsince 08/2023 · owns less than 5%
- H••••• C••••••••• R•••••• · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- K••••• D•••••• · M••••••controlsince 01/2022 · owns less than 5%
- D••••• J••••••• G•••••• · Shareholdercontrolsince 01/2017 · owns 75% or more of C••••• H•••••• L••••••
Entity owners
- F••••• I••••••••• L•• ••••••••• · Ownerdirect · owns 75% or more
- C•••••••• C•••••• S• · Shareholderindirect · owns 75% or more of F••••• I••••••••• L•• •••••••••
- C•••••••• G•••• H•••••• S• · Shareholderindirect · owns 75% or more of C•••••••• C•••••• S•
- C••••• H•••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••••• G•••• H•••••• S•
Related persons
Schedule D 7.A
- C•• A••••••••• C•••••• S•••••••• M•••••• L••pooled vehicle sponsory
- P••• S•••••• S••••••••• P•••••• C••••• F••• M••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 28 to 25Feb 14, 2023 to Mar 14, 2023
- Advisory employees · 7 to 5Feb 14, 2023 to Mar 14, 2023
- Corporate clients · 13 to 11Feb 14, 2023 to Mar 14, 2023
- HNW clients · 12 to 6Feb 14, 2023 to Mar 14, 2023
- Pooled vehicle clients · 3 to 8Feb 14, 2023 to Mar 14, 2023
- Assets in custody · $0 to $104MFeb 14, 2023 to Mar 14, 2023
- Employees · 8 to 6Feb 14, 2023 to Mar 14, 2023
- Private funds · 3 to 6Feb 14, 2023 to Mar 14, 2023
- Discretionary RAUM · $221M to $185MFeb 14, 2023 to Mar 14, 2023
- HNW RAUM · $24.9M to $14.5MFeb 14, 2023 to Mar 14, 2023
- Pooled vehicle RAUM · $146M to $138MFeb 14, 2023 to Mar 14, 2023
- RAUM · $221M to $185MFeb 14, 2023 to Mar 14, 2023
- Other offices · 1 to 0Jul 28, 2022 to Feb 14, 2023
- Accounts · 32 to 28May 5, 2021 to Mar 29, 2022
- Advisory employees · 6 to 7May 5, 2021 to Mar 29, 2022
- Corporate clients · 20 to 13May 5, 2021 to Mar 29, 2022
- HNW clients · 9 to 12May 5, 2021 to Mar 29, 2022
- Pooled vehicle clients · 2 to 3May 5, 2021 to Mar 29, 2022
- Employees · 7 to 8May 5, 2021 to Mar 29, 2022
- Private funds · 1 to 3May 5, 2021 to Mar 29, 2022
- Discretionary RAUM · $214M to $221MMay 5, 2021 to Mar 29, 2022
- HNW RAUM · $22.5M to $24.9MMay 5, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $138M to $146MMay 5, 2021 to Mar 29, 2022
- RAUM · $214M to $221MMay 5, 2021 to Mar 29, 2022
- Related adviser · true to falseMay 5, 2021 to Mar 29, 2022
- Business name · L•••• C•••••••• A••••••• L•• to C•••••••• A•••• M••••••••• L••Mar 18, 2021 to May 5, 2021
- Legal name · L•••• C•••••••• A••••••• L•• to C•••••••• A•••• M••••••••• L••Mar 18, 2021 to May 5, 2021
- Accounts · 48 to 32Aug 10, 2020 to Mar 18, 2021
- Advisory employees · 8 to 6Aug 10, 2020 to Mar 18, 2021
- Corporate clients · 22 to 20Aug 10, 2020 to Mar 18, 2021
- HNW clients · 19 to 9Aug 10, 2020 to Mar 18, 2021
- Employees · 9 to 7Aug 10, 2020 to Mar 18, 2021
- Discretionary RAUM · $273M to $214MAug 10, 2020 to Mar 18, 2021
- HNW RAUM · $31.9M to $22.5MAug 10, 2020 to Mar 18, 2021
- Individual RAUM · 256391.0 to unsetAug 10, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $2.3M to $0Aug 10, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $142M to $138MAug 10, 2020 to Mar 18, 2021
- RAUM · $275M to $214MAug 10, 2020 to Mar 18, 2021
- HQ city · MIAMI to NEW YORKJun 29, 2020 to Aug 3, 2020
- HQ state · FL to NYJun 29, 2020 to Aug 3, 2020
Signals
19 dated events
- F••••••• R••••• K••••••• (Chief Executive Officer/Chief Financial Officer) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2023-04-28, absent 2023-08-11)Aug 11, 2023 · Control person left · inference
- B••••••• D•••• (Manager) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2023-04-28, absent 2023-08-11)Aug 11, 2023 · Control person left · inference
- Barry Hollander (Chief Compliance Officer) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2022-03-29, absent 2022-04-18)Apr 18, 2022 · Control person left · inference
- Ridgely Christopher Hardy (Chief Compliance Officer) appeared on Schedule A of C•••••••• A•••• M••••••••• L••Apr 18, 2022 · Control person joined · fact
- D•••••• K•••• (Manager) appeared on Schedule A of C•••••••• A•••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- Wahbe Tamari (Shareholder) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2021-05-05, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- R••• A••••• G••••••• (Manager) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2021-05-05, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- D•••••• K•••• (Manager) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2020-08-10, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
- Nordell Philip Carey (Managing Member) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2020-08-10, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
- R••• A••••• G••••••• (Manager) appeared on Schedule A of C•••••••• A•••• M••••••••• L••Mar 18, 2021 · Control person joined · fact
- Barry Hollander (Chief Compliance Officer) appeared on Schedule A of C•••••••• A•••• M••••••••• L••Aug 3, 2020 · Control person joined · fact
- Wahbe Tamari (Shareholder) appeared on Schedule A of C•••••••• A•••• M••••••••• L••Aug 3, 2020 · Control person joined · fact
- B••••••• D•••• (Manager) appeared on Schedule A of C•••••••• A•••• M••••••••• L••May 13, 2020 · Control person joined · fact
- Karim Aryeh (Cio) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2019-04-29, absent 2019-11-18)Nov 18, 2019 · Control person left · inference
- G••••• C••••••• (Manager) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2019-04-29, absent 2019-11-18)Nov 18, 2019 · Control person left · inference
- F••••••• R••••• K••••••• (Chief Operating Officer/Chief Financial Officer) appeared on Schedule A of C•••••••• A•••• M••••••••• L••Nov 18, 2019 · Control person joined · fact
- G••••• C••••••• (Manager) appeared on Schedule A of C•••••••• A•••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
- C•••••••• A•••• M••••••••• L•• reported RAUM $299.9M, up 75% from $171.0M (2018-03-29 to 2018-10-03)Oct 3, 2018 · RAUM change · derived
- L•••• C•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 1, 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