DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• E••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 28, 2018 · 13 filings
SEC status approved since Jul 27, 2018
RAUM
$542M
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
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$542M as of Mar 31, 2026
Mar 29, 2019$315M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20192 then
Employees (5.A)10 as of Mar 31, 2026
Mar 29, 20198 then
Private funds9 as of Mar 31, 2026
Mar 29, 20195 then
RAUM -6.7% over the last fiscal year-0.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $271MderivedRAUM 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
- $60.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- 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)
- 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$542M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• E••••• P••••••• I• L••• | Other Private Fund | $202M | 29 | Jun 28, 2018 |
| C••••• E••••• P••••••• I•• L• | Other Private Fund | $128M | 27 | Mar 30, 2023 |
| C••••• E••••• C••••••••• V•• L•• | Other Private Fund | $53.4M | 8 | Mar 30, 2023 |
| C••••• C••••••••• C••••••••• L• | Other Private Fund | $29.4M | 8 | Jun 28, 2018 |
| C••••• E••••• C••••••••• I••• L•• | Other Private Fund | $20.4M | 14 | Mar 16, 2020 |
| C••••• E••••• C••••••••• V••• L•• | Other Private Fund | $20.3M | 5 | Mar 29, 2024 |
| C••••• E••••• C••••••••• V• L•• | Other Private Fund | $13.5M | 15 | Mar 31, 2022 |
| C••••• E••••• C••••••••• I•• L••no longer reported | Other Private Fund | $5.0M | 5 | Mar 31, 2022 |
| C••••• E••••• C••••••••• I•• L•• | Other Private Fund | $4.8M | 6 | Jun 28, 2018 |
| C•• A••••••••• V••••••• L••• | Other Private Fund | $4.2M | 16 | Jun 28, 2018 |
| C••••• E••••• C••••••••• I• L•• | Other Private Fund | $2.6M | 7 | Jun 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- G••••• J•••••• L••• · Chief Financial Officer / Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- S•••••• J• W•••••• · Managing Membercontrolsince 06/2016 · owns 50% to 75%
- T••••••••• J•••••• M•••• · Managing Membercontrolsince 06/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•• G• H••••••• I•• L••pooled vehicle sponsory
- C•• G• H•••••••• L••pooled vehicle sponsory
- C••••• E••••• P••••••• G•• L•pooled vehicle sponsory
- C••••• E••••• P••••••• I• G•• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 9May 23, 2025 to Mar 31, 2026
- Advisory employees · 7 to 9May 23, 2025 to Mar 31, 2026
- Pooled vehicle clients · 10 to 9May 23, 2025 to Mar 31, 2026
- Employees · 8 to 10May 23, 2025 to Mar 31, 2026
- Private funds · 10 to 9May 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $580M to $542MMay 23, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $580M to $542MMay 23, 2025 to Mar 31, 2026
- RAUM · $580M to $542MMay 23, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 23, 2025
- Discretionary RAUM · $479M to $580MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $479M to $580MMar 29, 2024 to Mar 31, 2025
- RAUM · $479M to $580MMar 29, 2024 to Mar 31, 2025
- Accounts · 7 to 10Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 7 to 10Mar 30, 2023 to Mar 29, 2024
- Private funds · 7 to 10Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $551M to $479MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $551M to $479MMar 30, 2023 to Mar 29, 2024
- RAUM · $551M to $479MMar 30, 2023 to Mar 29, 2024
- Accounts · 8 to 7Aug 10, 2022 to Mar 30, 2023
- Pooled vehicle clients · 8 to 7Aug 10, 2022 to Mar 30, 2023
- Private funds · 8 to 7Aug 10, 2022 to Mar 30, 2023
- Discretionary RAUM · $468M to $551MAug 10, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $468M to $551MAug 10, 2022 to Mar 30, 2023
- RAUM · $468M to $551MAug 10, 2022 to Mar 30, 2023
- Related adviser · true to falseAug 10, 2022 to Mar 30, 2023
- Related bank · true to falseAug 10, 2022 to Mar 30, 2023
- Accounts · 6 to 8Jan 27, 2022 to Mar 31, 2022
- Pooled vehicle clients · 6 to 8Jan 27, 2022 to Mar 31, 2022
- Private funds · 6 to 8Jan 27, 2022 to Mar 31, 2022
- Discretionary RAUM · $416M to $468MJan 27, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $416M to $468MJan 27, 2022 to Mar 31, 2022
- RAUM · $416M to $468MJan 27, 2022 to Mar 31, 2022
- Accounts · 5 to 6Mar 29, 2019 to Mar 16, 2020
- Pooled vehicle clients · 5 to 6Mar 29, 2019 to Mar 16, 2020
- Assets in custody · 100804617.0 to unsetMar 29, 2019 to Mar 16, 2020
- Custody of client assets · true to falseMar 29, 2019 to Mar 16, 2020
- Private funds · 5 to 6Mar 29, 2019 to Mar 16, 2020
- Discretionary RAUM · $315M to $416MMar 29, 2019 to Mar 16, 2020
- Pooled vehicle RAUM · $315M to $416MMar 29, 2019 to Mar 16, 2020
- RAUM · $315M to $416MMar 29, 2019 to Mar 16, 2020
Signals
7 dated events
- Reed Charles Cherington (Managing Partner) no longer on Schedule A of C••••• E••••• P•••••••• L•• (listed 2022-03-31, absent 2022-08-10)Aug 10, 2022 · Control person left · inference
- Luis Patrick Ponce (Coo/Cfo/Cco) no longer on Schedule A of C••••• E••••• P•••••••• L•• (listed 2021-03-12, absent 2022-01-27)Jan 27, 2022 · Control person left · inference
- Luis Joseph Gomez (Chief Financial Officer / Chief Compliance Officer) appeared on Schedule A of C••••• E••••• P•••••••• L••Jan 27, 2022 · Control person joined · fact
- C••••• E••••• P•••••••• L•• reported RAUM $416.0M, up 32% from $315.0M (2019-03-29 to 2020-03-16)Mar 16, 2020 · RAUM change · derived
- C••••• E••••• P•••••••• L•• reported RAUM $315.0M, up 54% from $204.4M (2018-06-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Reed Charles Cherington (Managing Partner) appeared on Schedule A of C••••• E••••• P•••••••• L••Mar 29, 2019 · Control person joined · fact
- C••••• E••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• E••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- C•••••E•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 713-357-7570reportedpublic record, Form ADV, Mar 31, 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