DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••••••• A•••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Feb 17, 2017 · 15 filings
SEC status approved since Feb 27, 2017
RAUM
$4.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.8%
$74.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$4.2B as of Jun 29, 2026
Mar 28, 2018$510M then
HNW client RAUM$74.3M as of Jun 29, 2026
Mar 31, 2025$64.3M then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Mar 28, 20180 then
Employees (5.A)16 as of Jun 29, 2026
Mar 28, 201813 then
Private funds: no history
RAUM +22% over the last fiscal year+48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $85.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%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
- +22%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 feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.7B89%
- Corporations and businesses$144M3.4%
- Pooled investment vehicles$131M3.1%
- Insurance companies$128M3.0%
- High-net-worth individuals$74.3M1.8%
- Individual clients
- n/areported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 49reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.92 institutional_share=0.03 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••••••• S••• · Chief Financial Officer And Chief Compliance Officercontrolsince 12/2016 · owns less than 5%
- S••••••• D••••• K• •• O•••• · Managercontrolsince 12/2016 · owns less than 5%
Entity owners
- E••• C•••• · Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- C•••••••• C••••••• L•••pooled vehicle sponsorn
- C•••••••• M••••••••• L••investment adviseryRAUM $881M
Advisers that list C••••••••• A•••••••• L•• as a related person
- 149772 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 37 to 49Jun 24, 2025 to Mar 30, 2026
- Advisory employees · 9 to 11Jun 24, 2025 to Mar 30, 2026
- Corporate clients · 7 to 10Jun 24, 2025 to Mar 30, 2026
- HNW clients · 19 to 27Jun 24, 2025 to Mar 30, 2026
- Employees · 14 to 16Jun 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.9B to $4.2BJun 24, 2025 to Mar 30, 2026
- HNW RAUM · $60.6M to $74.3MJun 24, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $133M to $131MJun 24, 2025 to Mar 30, 2026
- RAUM · $3.9B to $4.2BJun 24, 2025 to Mar 30, 2026
- Accounts · 36 to 37Mar 31, 2025 to Jun 24, 2025
- Corporate clients · 6 to 7Mar 31, 2025 to Jun 24, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jun 24, 2025
- Discretionary RAUM · $3.4B to $3.9BMar 31, 2025 to Jun 24, 2025
- HNW RAUM · $64.3M to $60.6MMar 31, 2025 to Jun 24, 2025
- Pooled vehicle RAUM · $111M to $133MMar 31, 2025 to Jun 24, 2025
- RAUM · $3.4B to $3.9BMar 31, 2025 to Jun 24, 2025
- Accounts · 16 to 36Apr 8, 2024 to Mar 31, 2025
- Corporate clients · 3 to 6Apr 8, 2024 to Mar 31, 2025
- HNW clients · 4 to 19Apr 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.8B to $3.4BApr 8, 2024 to Mar 31, 2025
- HNW RAUM · $30.0M to $64.3MApr 8, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $81.3M to $111MApr 8, 2024 to Mar 31, 2025
- RAUM · $2.8B to $3.4BApr 8, 2024 to Mar 31, 2025
- Accounts · 8 to 16Mar 28, 2024 to Apr 8, 2024
- Advisory employees · 7 to 9Mar 28, 2024 to Apr 8, 2024
- Advisory activities · 2 to 4Mar 28, 2024 to Apr 8, 2024
- Corporate clients · unset to 3.0Mar 28, 2024 to Apr 8, 2024
- HNW clients · unset to 4.0Mar 28, 2024 to Apr 8, 2024
- Employees · 11 to 14Mar 28, 2024 to Apr 8, 2024
- Discretionary RAUM · $1.8B to $2.8BMar 28, 2024 to Apr 8, 2024
- HNW RAUM · unset to 30026915.0Mar 28, 2024 to Apr 8, 2024
- Pooled vehicle RAUM · $58.6M to $81.3MMar 28, 2024 to Apr 8, 2024
- RAUM · $1.8B to $2.8BMar 28, 2024 to Apr 8, 2024
- Accounts · 6 to 8Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 6 to 7Mar 30, 2023 to Mar 28, 2024
- Advisory activities · 1 to 2Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · unset to 1.0Mar 30, 2023 to Mar 28, 2024
- Employees · 10 to 11Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.8BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · unset to 58625855.0Mar 30, 2023 to Mar 28, 2024
Signals
6 dated events
- C••••••••• A•••••••• L•• reported RAUM $2.8B, up 51% from $1.8B (2024-03-28 to 2024-04-08)Apr 8, 2024 · RAUM change · derived
- C••••••••• A•••••••• L•• reported RAUM $1.8B, up 44% from $1.3B (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C••••••••• A•••••••• L•• reported RAUM $1.4B, up 70% from $807.1M (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- C••••••••• A•••••••• L•• reported RAUM $794.4M, up 56% from $509.8M (2018-03-28 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- C••••••••• A•••••••• L•• reported RAUM $509.8M, up 68% from $304.0M (2017-05-01 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- 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
- Website
- C•••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (914) 741-1515reportedpublic record, Form ADV, Jun 29, 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