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••••• F••••••

Former SEC-registered adviserCRD 287807SEC 801-110973websiteIAPD
Legal name C••••• F••••••• P•••••
Latest filing Mar 11, 2024
First filing on the tape Jul 6, 2017 · 29 filings
SEC status approved since Aug 7, 2017
RAUM
$132M
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
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$132M as of Mar 11, 2024
Feb 28, 2018$3.9M then
HNW client RAUM$0 as of Mar 11, 2024
Feb 7, 2020$0 then
State-registered IARs (5.B.3)2 as of Mar 11, 2024
Feb 28, 20180 then
Employees (5.A)5 as of Mar 11, 2024
Feb 28, 20185 then
Private funds: no history
RAUM +17% over the last fiscal year+59% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 2024; every figure names its basis
RAUM per advisor
$66.0MderivedRAUM 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
$132MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$132M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• D••••• L•• · Ownercontrol
      since 06/2016 · owns 10% to 25%
    • R••••••••• A••••• · Co-Ceo; Chief Investment Officercontrol
      since 06/2016 · owns 10% to 25%
    • L•••••• L••••••• H••••• · Chief Impact Officer
      since 10/2018 · owns less than 5%
    • L•••••• D•••••• H••••• · Co-Ceo, President, Coo & Cco
      since 08/2016 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Employees · 4 to 5
      Mar 15, 2023 to Mar 11, 2024
    • Discretionary RAUM · $113M to $132M
      Mar 15, 2023 to Mar 11, 2024
    • RAUM · $113M to $132M
      Mar 15, 2023 to Mar 11, 2024
    • Discretionary RAUM · $116M to $113M
      Jan 4, 2023 to Mar 15, 2023
    • RAUM · $116M to $113M
      Jan 4, 2023 to Mar 15, 2023
    • Advisory employees · 4 to 2
      Feb 1, 2022 to Sep 30, 2022
    • Advisory activities · 1 to 2
      Feb 1, 2022 to Sep 30, 2022
    • Employees · 5 to 4
      Feb 1, 2022 to Sep 30, 2022
    • Discretionary RAUM · $33.0M to $116M
      Jan 19, 2022 to Feb 1, 2022
    • RAUM · $33.0M to $116M
      Jan 19, 2022 to Feb 1, 2022
    • Advisory employees · 5 to 4
      Oct 18, 2021 to Nov 24, 2021
    • Employees · 6 to 5
      Oct 18, 2021 to Nov 24, 2021
    • State-registered IARs · 3 to 2
      Oct 18, 2021 to Nov 24, 2021
    • Other offices · 2 to 1
      Oct 18, 2021 to Nov 24, 2021
    • Employees · 5 to 6
      Mar 9, 2021 to Apr 14, 2021
    • Other offices · 1 to 2
      Jan 15, 2021 to Mar 9, 2021
    • Discretionary RAUM · $21.5M to $33.0M
      Dec 1, 2020 to Jan 14, 2021
    • RAUM · $21.5M to $33.0M
      Dec 1, 2020 to Jan 14, 2021
    • State-registered IARs · 4 to 3
      Sep 29, 2020 to Sep 30, 2020
    • Discretionary RAUM · $12.7M to $21.5M
      Sep 29, 2020 to Sep 30, 2020
    • RAUM · $12.7M to $21.5M
      Sep 29, 2020 to Sep 30, 2020
    • Advisory employees · 4 to 5
      May 7, 2020 to May 12, 2020
    • Employees · 4 to 5
      May 7, 2020 to May 12, 2020
    • State-registered IARs · 3 to 4
      May 7, 2020 to May 12, 2020
    • Charity clients · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Corporate clients · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • HNW clients · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Individual clients · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Pension plan clients · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Pooled vehicle clients · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Discretionary RAUM · $4.4M to $12.7M
      Jan 3, 2020 to Feb 7, 2020
    • HNW RAUM · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Individual RAUM · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Pension RAUM · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • Pooled vehicle RAUM · unset to 0.0
      Jan 3, 2020 to Feb 7, 2020
    • RAUM · $4.4M to $12.7M
      Jan 3, 2020 to Feb 7, 2020
    • Other offices · 0 to 1
      Feb 26, 2019 to Dec 18, 2019
    • Advisory employees · 3 to 4
      Dec 18, 2018 to Feb 26, 2019
    • Employees · 3 to 4
      Dec 18, 2018 to Feb 26, 2019
    • State-registered IARs · 0 to 3
      Dec 18, 2018 to Feb 26, 2019
    Signals
    2 dated events
    • C••••• F•••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $132.1M)
      May 2, 2025 · Left the SEC roster · derived
    • C••••• F•••••• filed its initial SEC registration (Form ADV)
      Jul 6, 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